- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2015-02-21T12:15:00
Image: SEC Commissioner Michael Piwowar is calling on the agency to create guidelines for when it will bring enforcement actions as administrative proceedings and when it will pursue cases in federal court. Given the SEC’s 100 percent success rate in administrative proceedings, he said in a speech, clarity on enforcement ...
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2015-05-05T14:45:00Z By Joe Mont
Image: Compliance officers responsible for accurate books and records and effective internal control over financial reporting may be entering a brave new world of regulatory enforcement. The SEC is stepping up its use of administrative proceedings to impose strict liability on even relatively minor infractions of securities law. “The SEC ...
2025-04-22T12:00:00Z
The Federal Trade Commission (FTC) filed a lawsuit against Uber, alleging the ride-hailing company signed customers up for its Uber One subscription without consent, then made it hard for them to cancel. The move marks the U.S. government’s latest broadside against big tech companies, and the first major action from ...
2025-04-21T12:00:00Z By Neil Hodge
The United Kingdom’s latest effort to encourage regulators to pare down rules to attract companies and investment as a way to stimulate the economy has received mixed reviews from lawyers.
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