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...
Chief Compliance Officer Roundtable: Breakfast Briefing – November 8, 2018
When: November 8, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New Yo...
Pre-Dating & Back-Dating are Equally Risky
The SEC today suspended three accountants formerly of BDO USA LLP for improper professional conduct ...
Fiduciary Duty
On Friday, September 28, 2018 the SEC charged LendingClub Asset Management (LCA) and its former pres...
Dorsey PF 2018 Symposium
When: September 26, 2018 (8:30 am – 6 pm) Where: Dorsey & Whitney LLP | 51 W. 52nd Street ...
Outsourced Chief Compliance Officer
One of our goals is to help directors and trustees feel confident that our outsourced CCO solution w...
Exciting Summer Project — Dig Into Some Sand or Dig Into Your Firm’s Best Ex Process?
The Office of Compliance Inspections and Examinations (OCIE) issued a risk alert July 11 targeting i...
SEC Adopts Fund Liquidity Reporting and Disclosure Changes
The final week of June was a busy one for SEC releases following the SEC’s June 28th open meeting....