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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2015-06-30T10:45:00Z By Jaclyn Jaeger
Image: The conversation about personal liability for compliance officers is buzzing again, thanks to a hornet’s nest SEC Commissioner Daniel Gallagher stirred up with a complaint about recent sanctions against two CCOs. “We’re hearing similar concerns among CCOs at investment adviser firms—and not just from CCOs, but also from senior ...
2014-05-28T00:00:00Z By Jaclyn Jaeger
2014-05-13T00:00:00Z By Jaclyn Jaeger
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