Compliance Predictions and Pressing Questions for 2021 During the webinar A Compliance Officer’s Crystal Ball – One Practitioner’s Predictions for 2021,... READ MORE
Technology Helps Firms with Remote Work Compliance Remote work is a part of the current normal in the financial services industry, in the short term... READ MORE
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
