- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Developed as a database to monitor markets and prevent flash crashes, the SEC’s consolidated audit trail has a big, new roadblock.
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A breach disclosure by the SEC does the agency no favors as it prepares to dig deep into data troves for market surveillance.
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.
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.
