- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Last year, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations examined 106 broker-dealers and investment advisers in an effort to better understand how they address the legal, regulatory, and compliance issues associated with cyber-security. An OCIE risk alert released this week breaks down the findings of the ...
THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.
News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
Image: Again and again, with both guidance and comment letters, the SEC has urged companies to avoid using “boilerplate” language in disclosures—and companies never seem to embrace the message. “There is an extraordinary amount of boilerplate disclosure across topics and across industries,” says Jean Rogers, head of the Sustainability Accounting ...
Five senior compliance practitioners outline their strategies for protecting their firms from data breaches.
Five senior compliance practitioners tell Compliance Week how their organizations are reacting to new cyber-threats introduced by the pandemic.
