- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC and the U.S. Secret Service are reportedly separately investigating a group of hackers called FIN4. In December 2014, cybersecurity firm FireEye Inc. released a report stating that FIN4 that was hacking the email accounts of top executives, lawyers and others in an effort to obtain non-public information about ...
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The biggest Compliance Fails of 2024 show the real-world consequences of noncompliance for the companies that faltered, but also for their customers and their employees.
The U.K. Financial Conduct Authority fined the London branch of Australian-based Macquarie Bank Limited more than 13 million pounds (U.S. $16.3 million) for “serious control failures” that allowed a trader to conceal hundreds of fictitious trades over a 20-month period.
Hedge fund manager Scott Bessent, named by Donald Trump on Friday as his nominee for Treasury Secretary, has a clear mandate to deregulate the financial markets should he take the helm.
