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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-03-15T12:45:00
Acting Commodity Futures Trading Commission Chairman J. Christopher Giancarlo was nominated by President Trump to officially head the agency this week. Awaiting Senate confirmation, he has already detailed bold reforms for the Commission.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2017-03-28T13:15:00Z By Joe Mont
President Trump’s nominee to head the SEC, Jay Clayton, was grilled about conflicts, recusals, and his views on enforcement during a Senate Banking Committee hearing.
2024-11-13T20:23:00Z By Adrianne Appel
“Unreasonably delayed reporting” cost one of two claimants whom will unevenly split a $4 million whistleblower award from the Commodity Futures Trading Commission for providing information that led to a successful enforcement action.
2024-09-24T15:31:00Z By Aaron Nicodemus
Regulators continue to hammer firms with fines for violating rules regarding the use of unapproved communication methods by employees, issuing $120 million in fines this week. And for the first time, two firms were not fined because they self-reported their violations.
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