- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2014-10-15T15:45:00
One of the more significant trends in enforcement actions by the Securities and Exchange Commission recently may not be immediately obvious.
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2015-10-20T14:45:00Z By Joe Mont
Image: A chronic dilemma for the SEC Enforcement Division is how best to focus its efforts given resource constraints. Enforcement Director Andrew Ceresney had to answer for how those decisions are made during a meeting of the Investment Advisory Committee last week. Despite calls to abolish the “broken windows” approach, ...
2015-02-18T12:45:00Z By Joe Mont
The SEC has been pushing its “broken windows” enforcement strategy for more than a year now, chasing down minor infractions alongside larger securities violations. What have we learned? For starters, don’t expect isolated citations; larger sweeps get more bang for the SEC’s buck. As for compliance officers, their jobs will ...
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A recent survey found that 66% of compliance leaders say their training programs are hard to customize quickly, and nearly half (46%) are being asked to cut training time.
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