Compliance Predictions and Pressing Questions for 2021 During the webinar A Compliance Officer’s Crystal Ball – One Practitioner’s Predictions for 2021,... READ MORE
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
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
