- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Suspicious stock trades may have been timed to Education Department announcements, a letter from Senate and House DEmocrats allege in a letter to Secretary of Education Betsy DeVos.
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Westpac Banking Corp. was assessed a maximum fine of AUS$1.8 million (U.S. $1.2 million) to address charges levied by the Australian Securities and Investments Commission of insider trading related to an interest rate swap transaction.
Private equity company Tavistock Group announced the retention of law firm Sidley Austin to conduct a compliance review, the same week that its billionaire founder pleaded guilty to U.S. insider trading charges.
The Department of Justice and Securities and Exchange Commission announced charges against a dozen individuals across four separate insider trading cases, including an alleged scheme involving the chief compliance officer of an international payment processing company.
