- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
With the apparent demise of the Labor Department’s fiduciary rule, the SEC has stepped in to fill the void. Will the proposed Regulation Best Interest aid investors?
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The U.S. Department of Labor announced the proposal of a new exemption for investment advice fiduciaries designed to replace retirement-focused fiduciary rules made invalid two years ago.
A whistleblower will be paid $37 million by the Securities and Exchange Commission for providing original, credible information that led to a successful enforcement action.
Nearly three-quarters of compliance professionals at investment firms have made testing for off-channel and electronic communications surveillance a top priority in mock exams, according to a new poll, with more than half calling it the “hottest” topic of discussion.
