- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-01-04T11:30:00
The SEC has fought off challenges to its in-house judges before, but new complaints that the Commission’s proceedings are unconstitutional might just stick. Joe Mont reports.
2025-06-04T20:56:00Z By Ian Sherr
Compliance is increasingly in the spotlight as companies are tackling everything from artificial intelligence and other new technologies to risk management and mitigation. But it’s soft skills of communication and relationship building that are becoming the most critical tools for success.
2024-06-28T14:57:00Z By Aaron Nicodemus
The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.
2019-04-15T20:51:00Z By Joe Mont
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
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