- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
In response to trading disruptions and pricing irregularities that plagued the stock market last August, three major exchange groups—Bats Global Markets, Nasdaq, and the New York Stock Exchange—are working together to harmonize their electronic trading procedures. Joe Mont has more.
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Intercontinental Exchange and nine affiliates agreed to pay $10 million for allegedly failing to inform the Securities and Exchange Commission of a cyber intrusion as required by Regulation Systems Compliance and Integrity.
A November executive order by former President Donald Trump banning U.S. investment in companies with ties to the Chinese military has proven difficult for compliance officers to navigate after taking effect earlier this month.
Intercontinental Exchange, the parent company of the New York Stock Exchange, announced Joanne Rowe has been named corporate risk officer.
