SEC exam priorities put retail, disclosure in crosshairs

OCIE has published its 2018 priorities letter

Peter Rawlings and Jason Bisnoff 21 February, 2018

Complying with the rule means advisers may subject fund firms to negative consequences

Stan Wilson 4 hours ago

State officials accused Scottrade of violating its own fiduciary rule policies

Jason Bisnoff 5 hours ago

State officials accused Scottrade of violating its own fiduciary rule policies

Jason Bisnoff 5 hours ago

Today’s compliance news from around the web

Peter Rawlings 5 hours ago

Gerald Hodgkins had served in the Enforcement Division since 1997

Jason Bisnoff 21 February, 2018

Be prepared: Compliance concerns high around cryptocurrency trading

What chief compliance officers need to know about cryptocurrency

Compliance Reporter 29 January, 2018

What are the risk and compliance trends set to shape 2018?

Ten key issues for CCOs to keep in mind

Compliance Reporter 18 January, 2018

Preparing for the new disclosure requirements for fixed income securities

Starting next spring, brokers face new debt and municipal securities disclosures

Compliance Reporter 21 December, 2017

SEC examiners’ retail focus doesn’t mean CCOs of all stripes shouldn’t be on guard

Peter Rawlings 3 hours ago

Repeating warnings from regulators about off-the-shelf compliance

Peter Rawlings 7 February, 2018

The court curveball

21 December, 2017

Limited budget tango

12 December, 2017

A new tack through the fog

25 October, 2017

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