- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC has charged the New York Stock Exchange and two affiliated exchanges with regulatory failures in connection with several disruptive market events. The charges include include the first-ever charged violation of Regulation SCI.
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Intercontinental Exchange and nine affiliates agreed to pay $10 million for allegedly failing to inform the Securities and Exchange Commission of a cyber intrusion as required by Regulation Systems Compliance and Integrity.
A November executive order by former President Donald Trump banning U.S. investment in companies with ties to the Chinese military has proven difficult for compliance officers to navigate after taking effect earlier this month.
Intercontinental Exchange, the parent company of the New York Stock Exchange, announced Joanne Rowe has been named corporate risk officer.
