By
Aaron Nicodemus2020-06-22T20:53:00
SEC Chairman Jay Clayton will be in for the fight of his life to secure a nomination to become the next U.S. Attorney for the Southern District of New York.
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2020-06-22T20:34:00Z By Kyle Brasseur
SEC head Jay Clayton has largely stayed out of the spotlight … until now, as he finds himself embroiled in a controversy that wasn’t of his own making. Such is life as a cog in the Trump machine.
2020-06-22T17:37:00Z By Dave Lefort
The fact that President Trump is so unabashedly bold about holding his finger on the scales of justice should remind CCOs that ethics and rules can’t be bent for political (or business) gain.
2020-06-18T18:45:00Z By Kyle Brasseur
If “tone at the top” is a benchmark for determining ethical leadership, where does the United States stand?
2025-12-19T20:33:00Z By Aaron Nicodemus
Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared insights with Compliance Week regarding the self-regulatory organization’s use of Artificial Intelligence in monitoring trends in the market, spotting threats, and keeping its members informed.
2025-12-15T18:04:00Z By Ruth Prickett
European banks and financial institutions must prepare now for stringent new rules on third-party suppliers.
2025-12-15T13:10:00Z By Adrianne Appel
President Donald Trump has directed the Securities and Exchange Commission (SEC) to review—and remove—any SEC rules or guidance that allow proxy advisors to influence business practices related to diversity, equity and inclusion (DEI) and environmental, social and governance (ESG) policies.
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