- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Financial Industry Regulatory Authority has released its annual “Regulatory and Examination Priorities Letter,” an overview of areas it plans to focus on in 2017 exams. More from Joe Mont.
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A new year has meant some big changes for the Financial Industry Regulatory Authority, including several recent appointments, some new initiatives, and an update to the agency’s enforcement priorities.
Aviation maintenance services provider AAR Corp. will pay nearly $56 million to settle charges that it violated the Foreign Corrupt Practices Act when it paid bribes to government officials in Nepal and South Africa.
Becton Dickinson medical device company will pay $175 million for “repeatedly” misleading investors about its Alaris infusion pump, a product the company knew was flawed and was sold without the required patient-safety approvals, the Securities and Exchange Commission said.
