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
The Intersection of Culture and Compliance Employees at all levels of the organization make decisions that impact compliance every single day.... READ MORE
The Importance of Software for ESG Compliance Regulatory and investor expectations around Environmental, Social and Governance are quickly and... READ MORE
Mitigate Employee Insider Risk With Compliance Technology Insider dealing is a perennial concern for regulators around the globe. Agencies like the SEC, the... READ MORE
SEC Priorities Focus on MNPI, Insider Trading and Crypto Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange... READ MORE
Optimal Outside Business Activities Compliance Goes Beyond Disclosures It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a... READ MORE
Take a Forward-Looking View to Manage Conflicts of Interest The days when firms could write off regulatory fines as the cost of doing business are long over.... READ MORE
Compliance Pitfalls for Newly Registered Investment Advisers The United States Securities and Exchange Commission's Division of Examinations Risk Alert:... READ MORE
