- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC’s latest guidance on whistleblower protection, confirming that employees need not report misconduct first to the SEC to win anti-retaliation protections, seems at first glance to be good news for internal compliance programs. For corporations as a whole, less so. Inside, we take a deeper look at the limits ...
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More OECD countries have put in place dedicated whistleblower protection laws in the past five years than in the previous quarter century, according to analysis by the Organization for Economic Cooperation and Development. But what’s a compliance officer to do when whistleblower protection laws in foreign countries directly contradict whistleblower ...
Broker-dealer Nationwide Planning Associates and two affiliated investment advisers impeded potential whistleblowers from reporting misconduct to the Securities and Exchange Commission and have agreed to settle the charges for a combined $240,000.
The Financial Industry Regulatory Authority announced the appointments of Tina Gubb, effective Monday, and Julie Glynn, effective Sept. 1, as senior vice presidents of enforcement.
