FINRA Spells Out 2017 Exam Priorities

The SRO‘s new target areas include high-risk brokers and text message records.

Peter Rawlings 18 January, 2017

Today’s compliance news from around the web.

Compliance Reporter 20 January, 2017

NY-based Centre Partners agreed to pay $50,000 to settle the SEC’s allegations.

Jason Bisnoff 20 January, 2017

NY-based Centre Partners agreed to pay $50,000 to settle the SEC’s allegations.

Jason Bisnoff 20 January, 2017

CCOs will need to take a look at fee structures as a main source of conflicts.

Jason Bisnoff 20 January, 2017

Today’s compliance news from around the web.

Compliance Reporter 19 January, 2017

Outsourcing Compliance: Document, Document, and Document Again

How compliance should respond to recent regulatory guidance on outsourcing.

Compliance Reporter 19 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

The rise of social media and texting present CCOs with a tricky decision.

Peter Rawlings 19 January, 2017

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

Peter Rawlings 4 January, 2017

Stormy Regulatory Seas

23 November, 2016

Second Chances?

9 November, 2016

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