- 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.
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.
2025-07-08T19:50:00Z By Aaron Nicodemus
Federal banking regulators have laid the blame for Discover Financial Services charging merchants $1 billion in excessive credit card fees over 17 years squarely at the feet of company executives.
2025-07-07T19:02:00Z By Aaron Nicodemus
The Consumer Financial Protection Bureau has dropped a $95 million enforcement action against Navy Federal Credit Union, the latest regulatory pullback by the agency under President Donald Trump.
2025-07-07T17:45:00Z By Neil Hodge
The UK’s financial regulator has had a rough ride over the past couple of years as its strategy to “name and shame” firms it opened investigations into was widely slammed by the industry and lawmakers over concerns that companies could be unfairly maligned.
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