- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Legal entity management, identifying every party to a financial transaction, is far easier said than done for financial institutions. Complex or not, regulators are paying attention and will continue to increase their scrutiny. In this week’s podcast, we talk to Ron Jordan, chief data officer for the Depository Trust and ...
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The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
Top officials at the SEC shared their agendas and future priorities at the recent SEC Speaks conference. Chairman Jay Clayton gave “a look at the SEC through the eyes of management,” and Commissioner Elad Roisman spoke of “encouraging smaller entrants to capital markets.”
