- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2015-08-05T16:00:00
The easy part: adopting new rules and a process for the registration of security-based swap dealers and major security-based swap participants. More controversial, is a new proposal, announced by the Securities and Exchange Commission on Wednesday, to give swap dealers the ability to do business with individuals and firms convicted ...
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2025-04-16T16:00:00Z By Aaron Nicodemus
The U.S. Department of Justice ended two compliance monitorships on Glencore International more than a year early, monitorships imposed in 2022 after the company was convicted of paying bribes and manipulating commodities markets.
2025-04-09T20:52:00Z By Aaron Nicodemus
Some companies doing business in California and New York may soon be required to report the greenhouse gas emissions (GHG) of their operations to state authorities, even as the federal rule for disclosing such emissions is on life support.
2025-04-02T18:50:00Z By Aaron Nicodemus
The Securities and Exchange Commission (SEC)’s pivot in favor of crypto took another step as the agency indicated it wants to resolve a long-standing lawsuit against the crypto exchange Gemini.
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