- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Nauticus Robotics announced that John Symington was appointed as general counsel.
Symington has over 20 years of experience in-house, including serving as general counsel at Frank’s International and Seadrill, complemented by 10 years in private practice.
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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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