- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-08-01T10:15:00
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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2017-09-26T10:15:00Z By Joe Mont
A breach disclosure by the SEC does the agency no favors as it prepares to dig deep into data troves for market surveillance.
2025-03-19T11:53:00Z By Adrianne Appel
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.
2025-03-17T19:10:00Z By Adrianne Appel
Investment companies will have six additional months to comply with an update to the Securities and Exchange Commission rule aimed at making investment fund names more accurate.
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