- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
A funny thing happened on the way to the Shangri-La of automated monitoring and testing: It didn’t happen—at least, not yet. Advanced IT to improve monitoring and testing exists, but integrating those solutions into corporate data warehouses and business operations is harder than first thought. Inside, a look at how ...
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Increased regulatory scrutiny and the sting of billions in fines and penalties resulting from misconduct have prompted many financial firms to pour money into their compliance programs—investments that may be in vain without a unified view of risk. The tech challenges to build that view are considerable, but not impossible ...
A company culture geared to “win business at any cost” encouraged employees of New York-based aerospace manufacturer Moog to pay bribes in India to win contracts, the Securities and Exchange Commission alleged.
Electric vehicle maker Fisker is under investigation by the Securities and Exchange Commission over potential violations of federal securities laws related to the preservation of records and documents involving its Chapter 11 bankruptcy filing.
