- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2016-04-21T11:30:00
There are some basic certainties in life. Death. Taxes. The fact that "haters gonna hate." And to this list I think we can add that Sen. Elizabeth Warren will be "disappointed" in the SEC.
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2025-04-17T12:00:00Z By Aly McDevitt
Tom Hardin paid the price for crossing legal and ethical lines as a financial analyst accused of insider trading in one of the most notorious Wall Street scandals. Now he’s on a mission to save businesses from themselves. A keynote speaker at Compliance Week National, he built a second career ...
2024-05-13T19:47:00Z By Aaron Nicodemus
The Securities and Exchange Commission and Financial Crimes Enforcement Network proposed a rule requiring registered investment advisers to implement customer identification programs, another facet of a coordinated attempt to close an apparent loophole in federal AML regulations.
2016-11-08T15:15:00Z By Jaclyn Jaeger
Thanks to wayward hedge fund Och-Ziff, the entire finserv world might face an FCPA sweep. Compliance officers, take note. Jaclyn Jaeger reports.
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