- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Expect a focus on capital formation and improving the stagnant marketplace for public offerings under new SEC Chairman Jay Clayton.
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The SEC, through its new chairman, Jay Clayton, is looking to spark capital formation and new public offerings. Are its incentives enough?
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.
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.
