- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
In an increasingly rare display of unity among members of the Securities and Exchange Commission, they say that the Commission needs to dust off decades-old rules for transfer agents. New requirements could include requiring agents to be appropriately insured, properly disclosing conflicts of interest; and being subjected to more robust ...
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Aviation maintenance services provider AAR Corp. will pay nearly $56 million to settle charges that it violated the Foreign Corrupt Practices Act when it paid bribes to government officials in Nepal and South Africa.
Becton Dickinson medical device company will pay $175 million for “repeatedly” misleading investors about its Alaris infusion pump, a product the company knew was flawed and was sold without the required patient-safety approvals, the Securities and Exchange Commission said.
The Securities and Exchange Commission charged bankrupt fashion retailer Express with failing to disclose nearly $1 million in perks to a former chief executive, but did not levy a financial penalty thanks to its cooperation, the SEC said.
