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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Aaron Nicodemus2022-03-24T20:11:00
Richard Best will become acting director of the Division of Examinations at the Securities and Exchange Commission, following the announced departure of Daniel Kahl.
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2022-05-24T17:46:00Z By Aaron Nicodemus
The Securities and Exchange Commission named Richard Best permanent director of the agency’s Division of Examinations, removing “acting” from the job title he has held since March.
2022-05-02T20:08:00Z By Aaron Nicodemus
A risk alert issued by the Division of Examinations at the Securities and Exchange Commission highlighted “notable deficiencies” in the handling of material nonpublic information by investment advisers, investors, and other market participants.
2022-03-31T18:46:00Z By Jaclyn Jaeger
The Securities and Exchange Commission released its 2022 examination priorities, providing investment firms, broker-dealers, and other registrants a breakdown of what issues the Division of Examinations will focus on this year.
2024-06-27T18:16:00Z By CW Staff
Jio Financial Services announced the appointment of S. Anantharaman as group chief risk officer of the company.
2024-06-27T18:15:00Z By CW Staff
Biopharmaceutical company OnKure announced the appointment of Rogan Nunn as general counsel and secretary.
2024-06-27T18:13:00Z By CW Staff
Auto and home insurer MAPFRE USA announced that Daniel Olohan, who has served as general counsel and secretary of the company since 2008, has been appointed chief operating officer, effective Aug. 1.
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