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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2018-05-01T13:00:00
CFTC Chairman J. Christopher Giancarlo is trying to set the stage for what he describes as “regulatory reform 2.0,” with a look back on the Dodd-Frank Act’s swaps rules and where his Commission succeeded, or failed.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2018-05-23T08:00:00Z By Joe Mont
With some help from Democrats, Congressional Republicans have sent the most significant Dodd-Frank Act regulatory retreat to date on to the desk of President Trump.
2024-09-24T15:31:00Z By Aaron Nicodemus
Regulators continue to hammer firms with fines for violating rules regarding the use of unapproved communication methods by employees, issuing $120 million in fines this week. And for the first time, two firms were not fined because they self-reported their violations.
2024-09-17T18:01:00Z By Aaron Nicodemus
Fines for off-channel communications use by employees just keep on coming, with 12 municipal advisory firms fined a total of $1.3 million in the latest Securities and Exchange Commission sweep.
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