Incoming NASAA chief prepares states for expanded responsibility

Michael Pieciak also wants to focus on harmonizing rules across jurisdictions

Jason Bisnoff 15 May, 2018

They should also prepare a ‘cheat sheet’ with basic info

Jason Bisnoff 21 May, 2018

The SEC is eyeing an October 2018 completion date

Stan Wilson 21 May, 2018

The SEC is eyeing an October 2018 completion date

Stan Wilson 21 May, 2018

Today’s compliance news from around the web

Peter Rawlings 21 May, 2018

The regulation goes into effect May25

Jason Bisnoff 18 May, 2018

New know-your-customer AML due diligence rule set for May 11

How to comply with new FinCEN requirements

Compliance Reporter 16 April, 2018

How regulators are striving to keep up with the crypto craze

Regulators have been issuing numerous guidelines and statements

Compliance Reporter 2 April, 2018

SEC cybersecurity guidance: What CCOs should know

The SEC has published guidance on disclosures about cybersecurity risks and incidents

Compliance Reporter 6 March, 2018

Another round of elections is already almost here, and with it a renewed warning for compliance officers

Peter Rawlings 7 mins ago

As the DOL fades, the SEC comes out with a new proposal

Peter Rawlings 8 May, 2018

No free pass

22 February, 2018

Crypto in the crosshairs

27 January, 2018

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