All articles by Joe Mont – Page 45
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Blog
NLRB, FTC, and CFTC have new leadership
President Donald Trump has named Philip Miscimarra acting chairman of the National Labor Relations Board, the first step in what observers see as a shift back to more management-friendly policies and rulings. Joe Mont reports.
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Blog
Western Union settlement is a stern warning about AML compliance
If you need further proof of how costly failed AML and BSA compliance can be, writes Joe Mont, look no further than a the $586 million settlement Wester Union was just hit with.
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Article
Compliance lessons from Trump’s business dilemmas
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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Article
What regulation would look like under Mnuchin’s Treasury Department
Steven Mnuchin, President Trump’s nomination for Treasury secretary, shares his regulatory worldview … but what does it mean for compliance? Joe Mont reports.
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ArticleBattle lines are drawn; OCC debates charters for FinTech firms
FinTech firms could be chartered as special-purpose national banks under a proposal being developed by the OCC. The plan, however, writes Joe Mont, could be challenging for firms and has unleashed a flurry of criticism.
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Blog
Podcast: Oh, Canada...and compliance resources
In this edition of the Compliance Week podcast, we talk to Ellen Zimiles, a managing director at Navigant Consulting, about governance enhancements in Canada that allow CCOs to report their companies for not giving them enough budget to be effective.
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Podcast
Podcast: Oh, Canada...and compliance resources
In this edition of the Compliance Week podcast, we talk to Ellen Zimiles, a managing director at Navigant Consulting, about governance enhancements in Canada that allows CCOs to report their companies for not giving them enough budget to be effective.
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Blog
Hensarling to SEC Chair: Don’t let the door hit you ...
House Financial Services Committee Chairman Jeb Hensarling (R-Texas) slammed outgoing SEC Chair Mary Jo White over politically created concerns she expressed in her final speech. Joe Mont has more.
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Blog
House Republicans claim CFPB’s auto lending rule is illegal
As they stockpile ammunition in their efforts to remove CFPB Director Richard Cordray, House Republicans are claiming that recent auto lending rules by the Bureau are illegal. Joe Mont has more.
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Blog
FINRA digs deeper into blockchain challenges
A new FINRA report looks at how blockchain technologies will be used throughout the securities industry and is seeking feedback from the marketplace. Joe Mont reports.
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Blog
SEC agrees to supervisory cooperation with Hong Kong SFC
The SEC has announced a new agreement with the Hong Kong Securities and Futures Commission. The move, writes Joe Mont, is intended to enhance the oversight of regulated entities that operate across national borders.
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Article
Congressional blitzkrieg seeks to downsize regulatory regime
Even before Inauguration Day, the House of Representatives was fast-tracking legislation intended to scale back regulatory rulemaking. Joe Mont reports.
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Article
As SEC broadens international enforcement focus, compliance efforts must adapt
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.
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Blog
In final speech, Chair White reflects on an SEC under attack
In what may be her final public remarks as SEC chairman, Mary Jo White said that political gamesmanship and current legislative climate could erode the agency’s independence and “cripple” enforcement efforts. Joe Mont has more.
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Blog
OSHA unveils whistleblower anti-retaliation framework
OSHA has released its long-awaited guidance on best practices for whistleblower anti-retaliation programs. The recommended framework can be used to create and implement a new program or to enhance an existing program, writes Joe Mont.
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Blog
Labor Department offers FAQ on fiduciary rule
The Department of Labor has released a second series of “frequently asked questions” on its controversial “fiduciary duty” rule for advisers who are paid to make recommendations about retirement accounts. Joe Mont has more.
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Blog
SEC details 2017 examination priorities
The SEC has announced its Office of Compliance Inspections and Examinations’ priorities for the new year. Added areas of focus, writes Joe Mont, include electronic investment advice, money market funds, and the financial exploitation of senior investors.
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Article
What corporate meltdowns teach us about ERM
Joe Mont talks to Steven Minsky, CEO of LogicManager, about how disruptive technology demands that businesses practice better governance and enterprise risk management.
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Article
What to expect from Trump’s SEC nomination
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.
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Blog
FinCEN gives guidance on sharing SARs
The Financial Crimes Enforcement Network has clarified when a casino can share Suspicious Activity Reports and to whom it can provide the information. Joe Mont reports.