- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-03-03T11:30:00
Image: Speaking at the ABS Vegas 2016 conference this week, billed as the “largest capital markets conference in the world,” SEC Commissioner Michael Piwowar agreed with that characterization, but quipped that banking regulators—unfortunately, in his view—might be inclined to call it the “largest shadow banking conference in the world.” Piwowar ...
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.
2023-01-25T20:18:00Z By Aaron Nicodemus
The Securities and Exchange Commission resurrected an unfulfilled mandate of the Dodd-Frank Act that would prevent the sale of certain securities if there is a conflict of interest.
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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