- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
Image: A legal analysis of SEC enforcement brought in 2015, along with recent speeches given by SEC enforcement staff, provide a pretty clear roadmap of where the enforcement staff will continue to focus its top priorities in 2016. “Making sure you are addressing those issues in your compliance programs is ...
