- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2018-04-26T17:15:00
Despite successful legal challenges and a thunder-stealing rules package proposed by the SEC, the Department of Labor’s fiduciary rule isn’t dead quite yet. At least that is the hope of a last-minute legal maneuver by the AARP and three attorneys general.
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.
2020-10-20T17:00:00Z By Aaron Nicodemus
Democratic presidential nominee Joe Biden is no lock to win the presidency on Nov. 3. But it’s worth examining what compliance-related regulatory policies he’d support if he wins.
2020-06-30T18:14:00Z By Kyle Brasseur
The U.S. Department of Labor announced the proposal of a new exemption for investment advice fiduciaries designed to replace retirement-focused fiduciary rules made invalid two years ago.
Site powered by Webvision Cloud