VOTE 2

Pay-To-Play: Muni Advisors Tackle New Rule

Firms face new political contribution rules in the midst of an election season.

Peter Rawlings 16 August, 2016
NEWS ROUNDUP PHOTO

Today’s compliance news from around the web.

Compliance Reporter 4:04 PM ET
US TREASURY 2

Regulators are seeking more information in response to concerns about market volatility.

Ben Maiden 3:47 PM ET
US TREASURY 2

Regulators are seeking more information in response to concerns about market volatility.

Ben Maiden 3:47 PM ET
ETF

The firm has filed for SEC relief allowing it to launch stand-alone ETFs.

Compliance Reporter 3:42 PM ET
NEWS ROUNDUP PHOTO

Today’s compliance news from around the web.

Compliance Reporter 23 August, 2016
VOTE 2

Pay-To-Play: Muni Advisors Tackle New Rule

Firms face new political contribution rules in the midst of an election season.

Peter Rawlings 16 August, 2016
AML

Tackling New Broker, Adviser AML, Sanctions Challenges

A heightened regulatory focus and illicit actor activity are shaping the AML and sanctions environment facing securities firms.

Compliance Reporter 15 August, 2016
ROBO-ADVISERS

Robo-Advisers: Mass. Offers IA CCOs A Roadmap

New guidance is a harbinger of things to come, and shows IA CCOs the steps they should be taking.

Compliance Reporter 2 August, 2016

Using data to predict criminal behavior has a lot of questions to answer.

Ben Maiden 17 August, 2016

There’s an odd coming together in the GOP and Democratic platforms.

Ben Maiden 4 August, 2016

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