- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2015-08-04T15:45:00
Congress (and SEC commissioners) routinely complains that the SEC is so focused on churning out overdue rules for compliance with the Dodd-Frank Act, it has neglected to churn out overdue rules on capital formation required under the JOBS Act. In truth, the SEC is likely to move forward with what ...
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2015-09-15T12:30:00Z By Joe Mont
Once upon a time, start-up companies—whether toiling away in a garage somewhere or moving their way up in the world—rarely even considered a compliance program; that was something they would only need in the future. Now many find that the future comes mighty fast these days. Inside, a closer look ...
2025-04-18T17:45:00Z By Oscar Gonzalez
The U.S. Consumer Financial Protection Bureau continues to unravel amid pressure from Trump administration officials to shutter the agency. Not only has the agency informed its employees that it will no longer be a watchdog for the financial services industry, it has also laid off employees despite court orders blocking ...
2025-04-17T12:00:00Z By Aly McDevitt
Tom Hardin paid the price for crossing legal and ethical lines as a financial analyst accused of insider trading in one of the most notorious Wall Street scandals. Now he’s on a mission to save businesses from themselves. A keynote speaker at Compliance Week National, he built a second career ...
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