- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
President Trump’s nominee to head the SEC, Jay Clayton, was grilled about conflicts, recusals, and his views on enforcement during a Senate Banking Committee hearing.
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Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
A whistleblower will be paid $37 million by the Securities and Exchange Commission for providing original, credible information that led to a successful enforcement action.
Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll, with more than half calling it the “hottest” topic of discussion.
