Mutual funds grapple with new liquidity compliance

The SEC’s definition of illiquidity is proving difficult to put into practice

Peter Rawlings 24 April, 2017
SEC exam

OCIE recently laid out five chief areas of concern for IAs

Jason Bisnoff 25 April, 2017

The former Bush-era official was open to international regulatory involvement in the past

Peter Rawlings 25 April, 2017

The former Bush-era official was open to international regulatory involvement in the past

Peter Rawlings 25 April, 2017

Today’s compliance news from around the web

Peter Rawlings 25 April, 2017

The SRO is seeking feedback on three new regulatory notices

Jason Bisnoff 24 April, 2017

What new DoJ guidance means for compliance

The DOJ recently published new guidance on evaluating corporate compliance

Compliance Reporter 11 April, 2017

What the SEC custody guidance means for CCOs

The Division of Investment Management has issued a custody guidance update

Compliance Reporter 15 March, 2017

Mitigating personal liability risk for CCOs

How should compliance teams handle an environment in which CCOs seem to increasingly be held liable for their firms’ shortcomings?

Compliance Reporter 28 February, 2017

Recent investigations should prompt CCOs to review their whistleblower policies

Peter Rawlings 17 April, 2017

Shake-ups at the regulators have industry groups eyeing a change in direction

Peter Rawlings 31 March, 2017

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19 January, 2017

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