Analysis

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

The evolution of the hedge fund chameleon: Lessons for compliance

Adapting hedge fund compliance for a shifting landscape

Compliance Reporter 15 February, 2017

NY’s new cyber security rule: What businesses need to know

The Department of Financial Services is implementing first-in-the-nation cyber security rules

Compliance Reporter 1 February, 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

Whistleblower Compliance: What CCOs Need to Know

2016 has been a banner year for whistleblower awards.

Compliance Reporter 7 December, 2016

FINRA’s ‘B/D Light’ Brings Pros, Cons

New FINRA rules distinguish between traditional B/Ds and firms involved in capital raising and other financing transactions.

Compliance Reporter 18 November, 2016

Pay-To-Play: Preparing For FINRA’s Ban

Many B/Ds will face challenges, but those that comply with similar SEC and MSRB rules will have a model to work with.

Compliance Reporter 8 November, 2016

Complying With The New Muni Close-Out Process

Dealers need to be aware of the new calendar day counts ensure they are in compliance.

Compliance Reporter 25 October, 2016

Revised Form ADV: What CCOs Need To Know

New rules going into effect at the end of the month raise potential challenges such as classifying SMA assets.

Compliance Reporter 12 October, 2016




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