- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Robert Herz reviews the SEC’s recent accounting and enforcement releases, which reveal familiar patterns in corruption, as well as a commitment by the SEC to commence enforcement actions on any accounting and reporting violations it finds.
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A whistleblower will be paid $37 million by the Securities and Exchange Commission for providing original, credible information that led to a successful enforcement action.
Within two weeks of gaining power, the U.K.’s newly elected Labor government has confirmed its intention to beef up the audit regulator and strengthen corporate governance.
Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll, with more than half calling it the “hottest” topic of discussion.
