CFTC and SEC face budget crunch

Resources shortfalls could drive changes in the level of enforcement

Jason Bisnoff 18 April, 2018

The SEC commissioner decried regulatory overreach in a speech to SIFMA

Jason Bisnoff 24 April, 2018

FINRA said Jumpstart Securities wasn’t holding onto required records

Peter Rawlings 24 April, 2018

FINRA said Jumpstart Securities wasn’t holding onto required records

Peter Rawlings 24 April, 2018

Today’s compliance news from around the web

Peter Rawlings 24 April, 2018

The agency has brought multiple recent cases exemplifying this trend

Peter Rawlings 23 April, 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

The DOL’s rule was struck down, but will firms change their practices?

Peter Rawlings 23 March, 2018

Regulators seem content to bide their time as firms try to address cryptocurrency concerns

Peter Rawlings 14 March, 2018

Crypto in the crosshairs

27 January, 2018

A new age

16 January, 2018

The court curveball

21 December, 2017

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