The SEC Speaks About Off-Channel Communications, Disclosures and More Presented by the Practising Law Institute in conjunction with the U.S. Securities and Exchange... READ MORE
A Guide to Global Regulators Covering Communications Surveillance U.S. Securities and Exchange Commission (SEC) enforcement for failure to maintain and preserve... READ MORE
A Tale of Just Right Compliance Technology Once upon a time, there was a company that was looking to purchase compliance software. The... READ MORE
Benchmark Your Trade and Communications Surveillance Program The 2024 Surveillance Benchmarking Survey & Report from 1LoD, co-sponsored by MCO, contains... READ MORE
Compliance Software for the Financial Control Room Managing a financial trading control room involves balancing a wide variety of tasks. To comply... READ MORE
Navigating Pay-To-Play Compliance in an Election Year and Beyond The 2024 U.S. Presidential election is grabbing the headlines right now. However, 469 other federal... READ MORE
How Technology Enables Best Practices in Policy & Procedure Management If you work in the financial services industry, you know how important it is to have clear,... READ MORE
FINRA Priorities Include Conflicts of Interest and Communications The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from... READ MORE
SEC Enforcement and Priorities Set Compliance Expectations for 2024 2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement,... READ MORE
