- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Tom Fox2015-09-09T15:30:00
The SEC has now taken its first enforcement action in a “princeling” case, fining BNY Mellon for offering plum internships to the relatives of foreign officials to win business with their countries’ sovereign wealth funds. Inside, columnist Tom Fox looks at the case (which is probably the first of several) ...
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2025-03-28T18:45:00Z By Aaron Nicodemus
The Securities and Exchange Commission’s Republican leadership is abandoning the climate-related disclosure rule package passed last year by Democrats, hoping that the courts will kill regulations already on life support.
2025-03-24T16:06:00Z By Jaclyn Jaeger
In October 2024, aerospace and defense company Raytheon and parent company RTX reached a $950 million settlement with U.S. government agencies to resolve multiple federal law violations. More significant than the criminal penalties were the four compliance monitorships that came with the agreements.
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.
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