Pay-to-Play Compliance Key in Record Breaking Election Cycle The Federal Election Commission (FEC) recently released their Statistical Summary of 18-Month... 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
Understanding the Regulatory Impact of COVID-19 The COVID-19 pandemic has brought unprecedented circumstances to the financial services industry... READ MORE
U.S. Department of Justice's New Guidance Centers on Three Questions The DOJ has served notice it will require clear answers to these three questions during future... READ MORE
2018 Compliance Roundup - The Naughty List “He’s making a list and checking it twice. . .” As part of our end of year wrap up, we present to... READ MORE
FINRA 2017 Examination Priorities Summary On Wednesday the Financial Industry Regulatory Authority (FINRA) released its annual examinations... READ MORE
