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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
SEC wants more Brexit disclosure, Clayton says
As turmoil over the British exit from the European Union deepens, the Securities and Exchange Commission is looking for public companies to start disclosing more about how they’ll be affected.
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PremiumRTX and Raytheon: A case study in juggling four compliance monitors
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News BriefCCO who was ‘sole person controlling’ investment firm charged with recidivist concentration violations
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.