- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Leviton, which offers a wide range of lighting controls, wiring devices, and networking, announced the appointment of its chief sustainability officer Ross Goldman as a chief operating officer.
Goldman will be COO of Network Solutions. He previously held as executive vice president and general manager of the Network Solutions business unit.
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Broker-dealer TD Securities failed to prevent a trader from placing and then withdrawing thousands of false trades over the course of a year in part because its compliance department failed to follow up on red flags generated by the illegal trades, three regulators said.
The Financial Industry Regulatory Authority issued two separate fines against Merrill Lynch and BofA Securities totaling nearly $2.3 million for reporting violations and failing to timely file amendments on registration forms for their registered representatives.
A comprehensive IT controls program is crucial to safeguard your organization’s assets, ensure data integrity, and maintain regulatory compliance.
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