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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2018-04-26T16:45:00
SEC Chairman Jay Clayton said his agency will seek public input on a proposed fiduciary rule by supplementing public comments with short forms, multi-city roundtables, and an analysis by the Commission’s Office of the Investor Advocate.
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2018-05-08T11:30:00Z By Joe Mont
SEC Chairman Jay Clayton and relatively new Commissioners Robert Jackson and Hester Peirce are starting to pick their battles and set priorities.
2024-07-02T13:50:00Z By Aaron Nicodemus
Crypto-friendly Silvergate Bank will pay a total of $63 million penalties to California and the Federal Reserve Board to settle charges that its anti-money laundering program failed to properly monitor more than $1 trillion worth of customer transactions.
2024-06-28T14:57:00Z By Aaron Nicodemus
The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.
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