- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Conflicts of interest have become a big risk area for companies of all sizes, in all industries and any country. Just try spending an hour on the Web, and you’ll find several examples of COI causing financial losses for companies or their customers, questionable outcomes in scientific and medical research, ...
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Wilmington Trust Investment Management agreed to pay more than $1.3 million to settle charges by the Securities and Exchange Commission it failed to disclose conflicts of interest and breached its fiduciary duty to clients.
HSBC Securities (USA) agreed to pay $2 million as part of a settlement with the Financial Industry Regulatory Authority addressing alleged inaccurate disclosures related to conflicts of interest.
The Securities and Exchange Commission ordered New York-based investment adviser Bruderman Asset Management and its principal to pay a total of $250,000 over their alleged failure to disclose misuse of profits raised from clients.
