- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Adrianne Appel2023-11-01T16:00:00
Businesses must step up their internal policing and do a better job of reporting violations to the Securities and Exchange Commission (SEC), according to the agency’s head of enforcement.
Gurbir Grewal, director of the SEC’s Enforcement Division, addressed the agency’s fiscal year 2023 performance during a discussion at the SEC Securities Enforcement Forum 2023 held Oct. 25.
“We had an incredibly productive year” of enforcements, said Grewal regarding FY2023, which ended Sept. 30.
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2024-05-30T16:13:00Z By Kyle Brasseur
Gurbir Grewal, director of the Enforcement Division at the Securities and Exchange Commission, spelled out plainly his view on the best path to earning cooperation credit during settlement negotiations with the agency.
2023-11-17T21:58:00Z By Aaron Nicodemus
The new messaging on use off-channel communications for business should be clear: What was done before is no more. It cannot continue. The stakes are too high.
2023-11-15T17:00:00Z By Aaron Nicodemus
Firms monitoring employee use of off-channel communications for business purposes face numerous obstacles. How much is enough, in the opinion of regulators? How much is too much, in the eyes of employees? Determinations must be made as regulators crack down.
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The U.K. Financial Reporting Council issued penalties against PwC and a former auditor over deficiencies on work related to the 2019 financial statements of now shuttered Wyelands Bank.
2025-03-27T12:49:00Z By Aaron Nicodemus
Yet another government contractor has been slapped with a fine by the Department of Justice for applying lax cybersecurity defenses on sensitive government data.
2025-03-26T18:48:00Z By Oscar Gonzalez
The European Commission released its preliminary findings last week regarding Apple and Google not complying with the Digital Markets Act. It issued orders to both companies regarding their business practice and plans to release all of its findings next week.
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