- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-05-27T11:00:00
With an SEC rule enabling equity crowdfunding now in effect, and portals to facilitate that process under review, the North American Securities Administrators Association has announced a proposed model rule and uniform notice filing form for federal crowdfunding offerings. Joe Mont reports.
2017-03-07T12:15:00Z By Joe Mont
Crowdfunding is a revolutionary tool for capital formation. Dealing with its risks may provide a catalyst for fresh thinking about investor protections.
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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