D&O Liability Insurance Considerations for Financial Institutions
PRACTICE NOTE: D&O Liability Insurance Considerations for Financial Institutions (PDF)...
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1 (PDF)...
Have You Documented Your Data Storage Vendor Due Diligence?
On May 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk ale...
Chief Compliance Officer Roundtable: Breakfast Briefing – June 5, 2019
The Role of AI and Other Emerging Technologies in Investment Management When: June 5, 2019 Where: Bl...
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Firms Elect Securities America Financial Corporation’s Jim Nagengast to FINRA Board of Governors N...
79 Advisers Self Report and $125 Million Returned to Investors
In line with the OCIE’s National Exam Priorities targeting its examination efforts to prevent harm...
CFTC Releases Exam Priorities
In a first time release, stemming from agency initiatives to improve its relationship with regulated...
FINRA’S Box of Chocolates
While we know you prefer a box of chocolates today instead of this industry update on compliance, th...
A Motivated Agency: The SEC Closing the Loop on the Edgar System Cyber Breach
You may recall after Clayton took the helm as Chairman at the SEC, the agency disclosed that it had ...
Examiners Take Reprieve with Gov’t Shut Down, But CCOs Must Carry On
These government shut downs don’t usually go on indefinitely. Before we blink an eye, examiners wi...