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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2018-05-03T13:30:00
The SEC has announced the launch of a new, online search feature that enables investors to look up whether the person trying to sell them investments has a judgment or order entered against him in an enforcement action. The SEC Action Lookup for Individuals is now live and available as ...
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
Register for free
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2024-07-26T19:18:00Z By Jeff Dale
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.
2024-07-25T17:36:00Z By Jeff Dale
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.
2024-07-23T15:27:00Z By Jeff Dale
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.
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