The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Know Your EmployeeKnow Your Third PartyKnow Your Transaction
Learn more about the most current regulatory issues and their impact on organizations like yours.
A federal judge ruled Monday that the Securities and Exchange Commission’s appointment of an in-house judge was “likely unconstitutional.”
An SEC spokesman said the agency is “reviewing the decision.”
More here: http://www.wsj.com/articles/federal-judge-rules-sec-in-house-judges-appointment-likely-unconstitutional-1433796161