- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-09-06T10:15:00
As the slate of EU financial regulations known as MiFID II goes into effect in January, U.S. firms may be rudely awakened by new transparency demands, real-time reporting requirements, and “research unbundling” rules.
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2017-12-04T13:45:00Z By David Murray
The Markets in Financial Instruments Directive and the Consolidated Audit Trail will be vital tools for regulating a financial sector increasingly moving at speeds too fast to follow.
2017-11-21T11:45:00Z By David Ackerman
The expansion of the scope under MiFID II will make it far likelier for market participants to be caught within EU regulators’ crosshairs without even realizing it. Some tips for avoiding that fate are inside.
2025-04-16T16:00:00Z By Aaron Nicodemus
The U.S. Department of Justice ended two compliance monitorships on Glencore International more than a year early, monitorships imposed in 2022 after the company was convicted of paying bribes and manipulating commodities markets.
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