- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2018-09-26T14:00:00
In the SEC's first enforcement action for violations of the Identity Theft Red Flags Rule, Voya Financial Advisors has agreed to pay $1 million to settle charges for having deficient cyber-security policies and procedures concerning a cyber intrusion that compromised the personal information of thousands of customers.
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2018-12-27T10:30:00Z By Jaclyn Jaeger
The Securities and Exchange Commission has set out a demanding enforcement agenda for 2019. At the top of its list: retail investors and cyber-related misconduct.
2018-11-09T12:15:00Z By Jaclyn Jaeger
The SEC’s Enforcement Division issued its annual report this month, highlighting the Division’s activities in fiscal year 2018 from both a qualitative and quantitative perspective. Focusing on enforcement numbers and penalty amounts alone is meaningless, SEC Commissioner Hester Peirce said in recent remarks.
2025-05-05T13:42:00Z By Aaron Nicodemus
The Department of Justice has ended another FCPA-related compliance action more than a year early. This scaling back of regulatory enforcement by the federal government has been a growing trend since the start of the Trump administration.
Site powered by Webvision Cloud