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
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
