- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC has once again punished a CCO for neglecting their duties and ignoring red flags at a firm under investigation for suspect activities. Failing to file suspicious activity reports was at the root of the problem.
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Commercial real estate finance and advisory services firm Walker & Dunlop announced that Dan Groman will be its executive vice president, general counsel, secretary and chief compliance officer.
Vantage Drilling International announced that Sarah French has assumed the role of general counsel, chief compliance officer and corporate secretary.
Compliance Week’s sixth annual “Inside the Mind” survey seeks to discover what makes CCOs and other risk and compliance practitioners tick. Take 10 minutes to share your experiences and be part of our special report.
