- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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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Swiss bank UBS will pay $59 million in total civil penalties in resolutions with both Hong Kong and Swiss regulators for overcharging clients for over a decade.
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.
