- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
2017-01-18T10:30:00Z By Joe Mont
Under Mary Jo White, the SEC greatly expanded its focus on cross-border enforcement, adding risk and compliance challenges for companies wherever they are based. Joe Mont reports.
2016-10-04T16:30:00Z By Joe Mont
The SEC’s new rules for enhanced operational and governance standards for systematically important securities clearing agencies might just save EU banks billions of dollars in capital surcharges. Joe Mont reports.
2016-02-17T02:00:00Z By Joe Mont
Consider it regulatory kismet. Independently, on Feb. 10, the SEC and Commodity Futures Trading Commission finalized long-lingering rules and agreements needed to resolve concerns with the international marketplace for derivatives deals. The SEC’s new rules cover foreign swaps dealers who maintain trading desks in the United States, closing a perceived ...
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