- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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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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, ...
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 ...
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.
