By Joe Mont2017-01-10T10:00:00
President-elect Donald Trump’s pitch to head the SEC is Jay Clayton, a partner with Sullivan & Cromwell. Joe Mont fields reactions and looks for clues on how he might lead the agency.
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2017-04-25T12:00:00Z By Jaclyn Jaeger
Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
2017-01-24T10:00:00Z By Joe Mont
Steven Mnuchin, President Trump’s nomination for Treasury secretary, shares his regulatory worldview … but what does it mean for compliance? Joe Mont reports.
2026-03-26T18:01:00Z By Jaclyn Jaeger
The former U.S. chief compliance officer of London-based hedge fund Capula Investment Management, who alleged he was fired for escalating “significant regulatory compliance issues” to senior management, refiled his lawsuit in state court after his original complaint was dismissed in federal court on jurisdictional grounds.
Site powered by Webvision Cloud