- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-07-06T16:15:00
A coalition of top Senate Democrats has asked the SEC “to investigate potential fraud and illegal conduct” that may have contributed to Puerto Rico’s ongoing debt crisis. The group also called on SEC Chair Mary Jo White to “be a cop on the beat of Wall Street.” Joe Mont reports.
2025-06-04T20:56:00Z By Ian Sherr
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.
2024-11-19T21:05:00Z By Aaron Nicodemus
New York-based investment firm Drexel Hamilton will pay more than $1.1 million in penalties, with four current and former employees paying fines as well over committing hundreds of violations of rules regarding the sale of municipal bonds.
2022-09-14T20:11:00Z By Aaron Nicodemus
The Securities and Exchange Commission for the first time punished a broker-dealer—Chicago-based Loop Capital Markets—for providing advice to a municipal entity without registering with the agency as a municipal adviser.
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