- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-01-20T10:30:00
The SEC has announced a new agreement with the Hong Kong Securities and Futures Commission. The move, writes Joe Mont, is intended to enhance the oversight of regulated entities that operate across national borders.
2019-11-20T20:14:00Z By Jaclyn Jaeger
Swiss bank UBS will pay $59 million in total civil penalties in resolutions with both Hong Kong and Swiss regulators for overcharging clients for over a decade.
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.
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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