- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
This week, the Senate Banking Committee held its first nomination hearing for Hester Peirce and Robert Jackson, President Trump’s nominees for to serve as SEC commissioners.
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Questions about cyber-security, insider trading, materiality, and individual accountability greeted SEC nominees appearing before the Senate Banking Committee.
Crypto-friendly Silvergate Bank will pay a total of $63 million penalties to California and the Federal Reserve Board to settle charges that its anti-money laundering program failed to properly monitor more than $1 trillion worth of customer transactions.
The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.
