- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Hoverboards were this holiday season’s must-have present, but ongoing product safety concerns, patent infringement lawsuits, and even a regulator raid at a prominent electronics industry tradeshow all point to a product category that has been rushed to market in more ways than one, constituting a compliance failure that is as ...
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FTX Trading and the Commodity Futures Trading Commission have agreed on a $4 billion settlement in bankruptcy court to settle the CFTC’s lawsuit against the failed crypto trading platform.
UBS Financial Services, a subsidiary of the Swiss banking giant UBS, has been fined $850,000 for failing to properly monitor transactions between its broker-dealers and third parties.
Citigroup will pay $135.6 million in fines levied by two banking regulators for repeated failures to remediate deficiencies in risk management, data governance, and internal controls.
