- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Armed with Regulation S-P—the SEC’s go-to enforcement tool for cyber-security—regulators will soon begin a fresh wave of actions against investment advisers and broker-dealers who take a cavalier approach to their cyber-security responsibilities. Joe Mont reports.
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Commercial real estate finance and advisory services firm Walker & Dunlop announced that Dan Groman will be its executive vice president, general counsel, secretary and chief compliance officer.
Vantage Drilling International announced that Sarah French has assumed the role of general counsel, chief compliance officer and corporate secretary.
Compliance Week’s sixth annual “Inside the Mind” survey seeks to discover what makes CCOs and other risk and compliance practitioners tick. Take 10 minutes to share your experiences and be part of our special report.
