- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
As Donald Trump moves into the White House, what can compliance officers and ethics advisers learn from his conflicts of interest? Joe Mont reports.
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President Trump has fired Acting Attorney General Sally Yates over her opposition to a ban on Syrian refugees. Companies should pay close attention to aftershocks that could affect government prosecutions and FCPA enforcement, writes Joe Mont.
Wilmington Trust Investment Management agreed to pay more than $1.3 million to settle charges by the Securities and Exchange Commission it failed to disclose conflicts of interest and breached its fiduciary duty to clients.
HSBC Securities (USA) agreed to pay $2 million as part of a settlement with the Financial Industry Regulatory Authority addressing alleged inaccurate disclosures related to conflicts of interest.
