Compliance warned to tailor programs and keep technological pace

OCIE’s chief counsel stressed the importance of customizing policies

Jason Bisnoff 6 February, 2018

Obama-era regulators asked FINRA to identify any gaps

Stan Wilson 20 February, 2018

Madison Park Group failed to conduct required reviews and tests, the SRO said

Peter Rawlings 20 February, 2018

Madison Park Group failed to conduct required reviews and tests, the SRO said

Peter Rawlings 20 February, 2018

Today’s compliance news from around the web

Peter Rawlings 20 February, 2018

Industry watchers speculate that the “buckets” requirement might be pushed back

Stan Wilson 16 February, 2018

Be prepared: Compliance concerns high around cryptocurrency trading

What chief compliance officers need to know about cryptocurrency

Compliance Reporter 29 January, 2018

What are the risk and compliance trends set to shape 2018?

Ten key issues for CCOs to keep in mind

Compliance Reporter 18 January, 2018

Preparing for the new disclosure requirements for fixed income securities

Starting next spring, brokers face new debt and municipal securities disclosures

Compliance Reporter 21 December, 2017

Repeating warnings from regulators about off-the-shelf compliance

Peter Rawlings 7 February, 2018

Cryptocurrency’s popularity has put it square in regulators’ sights

Peter Rawlings 27 January, 2018

A new age

Peter Rawlings 16 January, 2018

The court curveball

Peter Rawlings 21 December, 2017

Limited budget tango

Peter Rawlings 12 December, 2017

Limited budget tango

12 December, 2017

A new tack through the fog

25 October, 2017

Escalating costs

11 October, 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.

  • Seven 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