- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Enforcement heads from the SEC and Department of Justice kicked off Compliance Week 2016 in Washington D.C. this week, speaking candidly about compliance program effectiveness, personal liability, and much more. Jaclyn Jaeger reports.
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The former chief compliance officer of Yellowstone Partners, a now-defunct registered investment advisory firm, has been barred from practice for his role in an overbilling scheme that defrauded clients out of $11.8 million.
Jaclyn Jaeger looks at yet another case brought by the SEC spotlighting the sort of conduct that can result in a personal liability claim against legal and compliance officers.
During a panel discussion at Compliance Week 2016, ethics and compliance officers came together to discuss both the challenges and opportunities associated with working with other functions and how to minimize turf wars and silos while enhancing the compliance program. Jaclyn Jaeger reports.
