- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-01-17T12:30:00
The Department of Labor has released a second series of “frequently asked questions” on its controversial “fiduciary duty” rule for advisers who are paid to make recommendations about retirement accounts. Joe Mont has more.
2017-02-07T22:15:00Z By Joe Mont
No, President Trump didn’t just kill the fiduciary rule and dismantle Dodd-Frank. Recent executive orders have set the stage for something far more complex and far-reaching. Joe Mont investigates.
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.
2025-05-23T15:49:00Z By Ruth Prickett
Financial Planning Corporation is a regulated financial planning firm founded 40 years ago, gaining coveted Chartered status in 2008. As the U.K. financial regulator, the FCA promises to clamp down on unregulated “finfluencers” on social media. Moira O’Shaughnessy, managing partner and head of risk and compliance at FPC, explains why ...
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