- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2013-10-17T09:02:00
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2015-02-18T12:45:00Z By Joe Mont
The SEC has been pushing its “broken windows” enforcement strategy for more than a year now, chasing down minor infractions alongside larger securities violations. What have we learned? For starters, don’t expect isolated citations; larger sweeps get more bang for the SEC’s buck. As for compliance officers, their jobs will ...
2013-11-05T00:00:00Z By Jaclyn Jaeger
2025-04-18T17:45:00Z By Oscar Gonzalez
The U.S. Consumer Financial Protection Bureau continues to unravel amid pressure from Trump administration officials to shutter the agency. Not only has the agency informed its employees that it will no longer be a watchdog for the financial services industry, it has also laid off employees despite court orders blocking ...
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