- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2016-07-21T09:45:00
Amid a heap of regulatory trouble, start-up life sciences company Theranos announced the appointment of two new executives to lead the company’s regulatory, quality and compliance efforts, including naming a chief compliane officer. The company also created a new compliance and quality committee. Jaclyn Jaeger has the details.
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2025-03-20T13:44:00Z By Aly McDevitt
Speakers at Compliance Week’s Ethics and Compliance Summit swapped engagement strategies rooted in human behavior, including with through the use of generative AI, free merchandise, and live events, to meet employees where they are.
2025-03-19T11:53:00Z By Adrianne Appel
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.
2025-03-12T16:01:00Z By Adrianne Appel
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
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