- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC re-proposed its extractive payments rule on Friday. The controversial rule, already vacated once by an industry lawsuit, requires public companies to report annually payments they, subsidiaries, and entities they control make to governments for the commercial development of oil, natural gas, or minerals. Initial comments on the proposed ...
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A whistleblower will be paid $37 million by the Securities and Exchange Commission for providing original, credible information that led to a successful enforcement action.
Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll, with more than half calling it the “hottest” topic of discussion.
Anonymous employees of OpenAI accused the company of requiring employees to sign nondisclosure agreements (NDAs) that “prohibited and discouraged” them from reporting securities law violations to federal regulators.
