FINRA Priorities Include Conflicts of Interest and Communications The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from... READ MORE
SEC Enforcement and Priorities Set Compliance Expectations for 2024 2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement,... READ MORE
The Intersection of Culture and Compliance Employees at all levels of the organization make decisions that impact compliance every single day.... READ MORE
The Right Indicators Bring Clarity to Assuring Compliance Oversight If the first stage of a pragmatic Know Your Obligations strategy is deconstructing and... READ MORE
Data Mapping Effectively Deconstructs Compliance Obligations Regulations, frameworks, policies and controls define the day-to-day of the Chief Compliance... READ MORE
Compliance Pitfalls for Newly Registered Investment Advisers The United States Securities and Exchange Commission's Division of Examinations Risk Alert:... READ MORE
Authority, Ability & Responsibility: Keys to CCO Liability If you’re in Compliance, you know the crucial role that the Chief Compliance Officer plays in... READ MORE
Record SEC Enforcement in 2022 Brings Steep Penalties for Misconduct U.S. Securities and Exchange Commission Chair Gary Gensler said in a speech to the Practicing Law... READ MORE
SEC Bulletin Highlights Need for Effective Conflicts Management The U.S. Securities and Exchange Commission (SEC) recently released the staff bulletin Standards of... READ MORE
