- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2016-01-12T12:30:00
The number of enforcement actions initiated by the SEC has steadily increased over the past six fiscal years, reaching a record high in 2015, according to a recent report drawing on data from the Securities Enforcement Empirical Database (SEED) that tracks and records information on SEC enforcement actions filed against ...
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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.
2025-04-18T17:45:00Z By Oscar Gonzalez
The U.S. Consumer Financial Protection Bureau continues to unravel amid pressure from Trump administration officials to shutter the agency. Not only has the agency informed its employees that it will no longer be a watchdog for the financial services industry, it has also laid off employees despite court orders blocking ...
2025-04-17T12:00:00Z By Aly McDevitt
Tom Hardin paid the price for crossing legal and ethical lines as a financial analyst accused of insider trading in one of the most notorious Wall Street scandals. Now he’s on a mission to save businesses from themselves. A keynote speaker at Compliance Week National, he built a second career ...
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