- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2014-08-20T11:15:00
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2015-08-14T09:15:00Z By Jaclyn Jaeger
The Securities and Exchange Commission has charged brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that they overcharged customers in new municipal bonds sales. It’s the SEC’s first case against an underwriter for pricing-related fraud in the primary market for ...
2025-04-22T14:00:00Z Provided by Ethena
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.
Provided by Epiq
As AI presents new opportunities to drive insight and efficiency, it brings new challenges of risk mitigation and overall company protection.
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