- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-06-16T16:30:00
The latest step toward disclosure effectiveness: The SEC has proposed rules to modernize disclosure requirements for mining registrants and align them with global standards. The rules would rescind Industry Guide 7 and include the updated mining property disclosure requirements in a new subpart of Regulation S-K. More from Joe Mont.
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2025-02-06T14:39:00Z By Adrianne Appel
A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the Financial Industry Regulatory Authority.
2023-12-18T17:45:00Z Provided by BitSight
Do you have a clear vision of what ‘good’ means when it comes to managing governance and your security program? Setting the right targets for your organization is crucial.
2019-09-10T13:44:00Z By Lori Tripoli
The SEC’s Office of Compliance Inspections and Examinations suggests a policy and procedure review for investment advisers for certain “principal trades” involving clients.
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