Compliance Checklist for Registered Investment Advisers First and foremost, Registered Investment Advisers (RIAs) are held to a standard of fiduciary duty... READ MORE
SEC Examination Priorities Provide a Roadmap for 2025 Compliance The US Securities and Exchange Commission has published its rundown of Examination Priorities for... READ MORE
MNPI Remains a High Risk Area for Compliance Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for... READ MORE
The SEC Speaks About Off-Channel Communications, Disclosures and More Presented by the Practising Law Institute in conjunction with the U.S. Securities and Exchange... READ MORE
Navigating Pay-To-Play Compliance in an Election Year and Beyond The 2024 U.S. Presidential election is grabbing the headlines right now. However, 469 other federal... READ MORE
A-Z List of Financial Regulators In the dynamic landscape of financial services compliance, multiple global regulators play a... 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
SEC Priorities Focus on MNPI, Insider Trading and Crypto Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange... READ MORE
Optimal Outside Business Activities Compliance Goes Beyond Disclosures It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a... READ MORE
