CCOs Prepare For Regulatory Change Under New Administration in 2017

The DoL fiduciary rule is on top of many compliance officers’ to-do lists for the new year.

Jason Bisnoff 5 January, 2017

The CFTC’s uncleared swap margin rules are going into general effect March 1.

Jason Bisnoff 17 January, 2017

A Tenth Circuit ruling could diminish the SEC’s use of administrative proceedings.

Peter Rawlings 17 January, 2017

A Tenth Circuit ruling could diminish the SEC’s use of administrative proceedings.

Peter Rawlings 17 January, 2017

Today’s compliance news from around the web.

Compliance Reporter 17 January, 2017

Today’s compliance news from around the web.

Compliance Reporter 13 January, 2017

U.S. Electronic Execution and Legal Concerns

How compliance should approach electronic execution and algorithmic trading.

Compliance Reporter 6 January, 2017

Complying with Active ETF Generic Listing Standards

The SEC approved new rules for active ETFs earlier this year.

Compliance Reporter 19 December, 2016

Whistleblower Compliance: What CCOs Need to Know

2016 has been a banner year for whistleblower awards.

Compliance Reporter 7 December, 2016

The new year brings with it a slew of new faces among the regulators.

Peter Rawlings 4 January, 2017

The Supreme Court gave prosecutors a gift-related gift this December.

Peter Rawlings 22 December, 2016

Second Chances?

9 November, 2016

Don’t Forget Wall Street

12 October, 2016

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