- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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Investment advisers have never had to face formal anti-money laundering requirements. That is about to change. A proposed rule by the Treasury Department’s Financial Crimes Enforcement Network adds them to the definition of “financial institutions” and demands comprehensive anti-money laundering programs. That has raised concerns of cost and redundancy and ...
While companies await results of the SEC’s ongoing review of its disclosure regime (hint: do not hold breath), they can just as well try the same at home. Creating a disclosure committee, cutting redundancy in 10-K risk factors and MD&A sections, spotlighting material information, and using charts and graphs are ...
Eight business executives, including the billionaire owner of Indian energy company Adani Group, were charged with fraud for their alleged roles in a multi-million bribery scheme to win a solar energy contract in India.
