SEC Will Focus on Good Faith Efforts in Reg BI Enforcement On April 7 the SEC published two Risk Alerts providing broker-dealers and investment advisors with... READ MORE
Criminal Sanctions for Market Abuse in the EU The European Commission has published a report regarding the implementation of CSMAD - Criminal... READ MORE
SEC on COVID19 and Market Integrity On March 23, 2020, the following statement was released from Stephanie Avakian and Steven Peikin,... READ MORE
Understanding the Regulatory Impact of COVID-19 The COVID-19 pandemic has brought unprecedented circumstances to the financial services industry... READ MORE
A Closer Look at Gifts and Entertainment Compliance We are relentlessly curious about how organizations deal with their Gifts and Entertainment rules... READ MORE
Women’s journey to the compliance world It’s International Women’s Day this March 8th and the theme for this year's celebrations is... READ MORE
Global Expansion is Challenging Compliance “We can’t change human nature, or the pressures of business and the economic/political backdrop,... READ MORE
Brian Fahey: My Risks Paid Off When America Complied Brian Fahey started out at the worst possible time: in 2008. He began selling into the financial... READ MORE
FASEA New Requirements Overview The Australian Financial Adviser Standards and Ethics Authority (FASEA) is responsible for... READ MORE
