- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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Once upon a time, start-up companies—whether toiling away in a garage somewhere or moving their way up in the world—rarely even considered a compliance program; that was something they would only need in the future. Now many find that the future comes mighty fast these days. Inside, a closer look ...
The Securities and Exchange Commission and Financial Crimes Enforcement Network proposed a rule requiring registered investment advisers to implement customer identification programs, another facet of a coordinated attempt to close an apparent loophole in federal AML regulations.
The Securities and Exchange Commission issued a pair of proposals that would increase the volume and timeliness of information that certain segments of the market must disclose, in order to provide more transparency and a deeper understanding of potential risks.
