SEC eyes disclosure for fiduciary standard proposal

The SEC is working on its own standard of conduct as the DOL’s rule was struck down

Jason Bisnoff 21 March, 2018

At the same time, the rate of enforcement referrals is on the decline

Jason Bisnoff 4:38 PM ET

Move aimed at protecting investors from risks related to sustainability

Stan Wilson 4:25 PM ET

Move aimed at protecting investors from risks related to sustainability

Stan Wilson 4:25 PM ET

Today’s compliance news from around the web

Peter Rawlings 22 March, 2018

David Grim and Sara Crovitz will be partners in the D.C. office

Peter Rawlings 21 March, 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

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

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

Peter Rawlings 14 March, 2018

SEC examiners’ retail focus doesn’t mean CCOs of all stripes shouldn’t be on guard

Peter Rawlings 22 February, 2018

A new age

16 January, 2018

The court curveball

21 December, 2017

Limited budget tango

12 December, 2017

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