- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC has announced its Office of Compliance Inspections and Examinations’ priorities for the new year. Added areas of focus, writes Joe Mont, include electronic investment advice, money market funds, and the financial exploitation of senior investors.
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RTX Corp., the parent company of Raytheon, disclosed in a public filing it has reserved $1.24 billion to resolve legacy legal matters with the Department of Justice, Securities and Exchange Commission, and Department of State.
The Consumer Financial Protection Bureau is warning companies against intimidating potential whistleblowers by forcing them to sign broad nondisclosure agreements to deter misconduct from coming to light.
The Securities and Exchange Commission announced that Division of Examinations Deputy Director Keith Cassidy, who was named interim acting co-director a year ago, will serve as interim acting director going forward.
