- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Among the most hotly contested rules currently in the regulatory pipeline are efforts to create a fiduciary duty for brokers who offer retirement advice. Rules to do so are currently being crafted by both the Department of Labor and SEC, with the former poised to enact its final rule, the ...
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New rules issued by the Department of Labor that double the threshold for overtime pay present new corporate dilemmas that may lead CCOs into the domain of Human Resources to defend against lawsuits and reputation risk. Joe Mont explores.
Yes, there is one thing that still inspires bipartisanship in Congress: attacking the Securities and Exchange Commission. That was revealed in recent days, says CW’s Joe Mont, with proposed legislative constraints on its rulemaking powers and a table-pounding attack on its disclosure effectiveness initiative from Massachusetts Senator Elizabeth Warren (above ...
The Department of Labor’s fiduciary rule for investment advisors has already stirred a firestorm of controversy, but one way or another, says Joe Mont, the financial advisory world is looking at a transformational change in how it operates by next April, with such high stakes that no one may want ...
