- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
On November 10, 2014, the U.S. Supreme Court declined to hear Douglas Whitman's appeal of his August 2012 conviction on two counts of conspiracy to commit securities fraud and two counts of securities fraud. Prosecutors in the SDNY had charged Whitman, a portfolio manager at Whitman Capital, LLC, with engaging ...
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Yes, there is one thing that still inspires bipartisanship in Congress: attacking the Securities and Exchange Commission. That was revealed in recent days, says CW’s Joe Mont, with proposed legislative constraints on its rulemaking powers and a table-pounding attack on its disclosure effectiveness initiative from Massachusetts Senator Elizabeth Warren (above ...
Image: Compliance officers worried about regulatory change, prepare yourself: The Supreme Court’s ruling to give agencies more leeway in re-interpreting rules does you no favors. Today’s estranged Washington politics means regulators are bound to try re-interpretation for the sake of expedient rulemaking, and CCOs will need to be vigilant. “This ...
Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.
