- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2017-07-26T16:00:00
The Securities and Exchange Commission issued an investigative report this week cautioning market participants that offers and sales of digital assets by “virtual” organizations are subject to the requirements of the federal securities laws.
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2019-10-02T18:09:00Z By Jaclyn Jaeger
Block.one has agreed to settle charges with the SEC and pay a $24 million civil penalty for conducting an unregistered initial coin offering of digital tokens that raised the equivalent of several billion dollars.
2025-04-28T21:38:00Z By Aaron Nicodemus
Whistleblowing in the United States is being buffered by uncertainty from regulators who are backing off policing corruption and consumer protections. Regulators like the Department of Justice and the Securities and Exchange Commission are being thrown into disarray by layoffs and restructuring. Still, whistleblowers will likely continue coming forward.
2025-04-28T20:13:00Z By Ian Sherr
At some point, many compliance professionals say they’ve met an executive who approached their role dismissively. “I don’t want to talk about anything that doesn’t bring money in the door,” one attendee remembers a senior executive saying to them.
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