Prosecutors and regulators urge self-reporting

Self-reporting early can win firms more flexibility from officials

Jason Bisnoff 21 June, 2017

The court will examine whether a whistleblower must report to regulators to be protected

Jason Bisnoff 28 June, 2017

FINRA said the firm for years failed to report large over-the-counter transactions

Peter Rawlings 28 June, 2017

FINRA said the firm for years failed to report large over-the-counter transactions

Peter Rawlings 28 June, 2017

Today’s compliance news from around the web

Peter Rawlings 28 June, 2017

The MFA said the SEC should get more feedback from the industry

Peter Rawlings 27 June, 2017

CFTC permits registered CTAs to use third-party recordkeepers: What CCOs need to know

The CFTC gave CTAs the same flexibility as other types of firms

Compliance Reporter 24 May, 2017

Waking up to cybercrime: the real risk to private equity

The biggest cyber threat for PE firms comes from within their businesses

Compliance Reporter 9 May, 2017

What new DoJ guidance means for compliance

The DOJ recently published new guidance on evaluating corporate compliance

Compliance Reporter 11 April, 2017

Regulators are continuing to push CCOs to preemptively inform them of violations

Peter Rawlings 26 June, 2017

At long last the first fiduciary rule deadline arrives

Peter Rawlings 12 June, 2017

Breaking ground

27 April, 2017

Give a little whistle

17 April, 2017

Changing tracks

31 March, 2017

Inquire About Membership

Fund Intelligence membership gives your firm access to an unique analysis and networking platform providing actionable data, insights and contacts that enable you to raise capital, comply with regulation and benchmark against peers.

  • Eight specialist networks for the latest industry trends
  • Direct access to actionable industry intelligence
  • Benchmarking data for flows, performance and product development
  • Peer group and allocator/advisor networking opportunities
  • Compliance data and tracking tools
  • Access to networking events and educational webinars
  • Access to our team of dedicated analysts and account handlers