- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2019-02-14T09:30:00
The SEC was spared setting mandatory arbitration policy when New Jersey’s attorney general argued a shareholder initiative proposed for Johnson & Johnson would be illegal.
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2025-05-08T21:43:00Z By Aaron Nicodemus
A decision by the Securities and Exchange Commission to close an investigation into the cash sweep program at Morgan Stanley may affect decision-making at other financial institutions under similar scrutiny.
2025-05-07T22:59:00Z By Adrianne Appel
Ticketing and short-term lodging businesses will be prohibited from hiding “convenience” and other fees from consumers under a rule by the Federal Trade Commission (FTC), set to take effect next week.
2025-05-07T22:22:00Z By Aaron Nicodemus
In a world where it seems like it’s Donald Trump against the rest of the world, antitrust lawsuits against tech titans may be the only area where regulators around the world agree: it’s time to break up Big Tech.
2025-05-07T20:31:00Z By Oscar Gonzalez
The U.S. Consumer Financial Protection Bureau (CFPB) signaled a softer regulatory approach last month, easing its investigation of financial firms following the U.S. government’s broader efforts under President Donald Trump to scale back regulatory enforcement on businesses. The agency reaffirmed this pivot as it will ease scrutiny of “Buy Now, ...
2025-05-06T20:44:00Z By Aaron Nicodemus
A significant settlement in a U.S. tax fraud case against Credit Suisse contains numerous compliance lessons related to beneficial ownership and due diligence in mergers and acquisitions.
2025-05-01T14:39:00Z By Neil Hodge
Antitrust infringement cases in the United Kingdom can run on for years, but there’s a question whether issuing fines that are dwarfed by the revenues of those organisations involved is a worthy deterrent—particularly if they are imposed over a decade after the misconduct ended. It’s also debatable whether the first ...
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