- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
SEC Fiscal Year 2015 enforcement results revealed that for the year ended Sept. 30, 2015, the Commission filed a record-high 807 enforcement actions and obtained orders totaling approximately $4.2 billion in disgorgement and penalties. Of these 807 enforcement actions, 507 were “independent actions,” with the other 300 actions being either ...
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Gatekeepers including chief financial officers and the chair of the audit committee have a responsibility to shareholders to report fraud wherever they find it–especially when that fraud involves an artificial intelligence tool meant to combat fraud.
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