- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Climate change activists are upping the pressure on public companies to disclose the risks they face due to a potential environmental catastrophe. Those efforts include an SEC petition for rulemaking and a new Senate bill.
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Environmental, social, and governance disclosures are becoming common practice, but equally pressing is the regulatory compliance risk associated with non-disclosure or disclosures that are not accurate, truthful, or complete.
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.
