Analysis

Regulating RegTech: Technology should complement—not replace—diligent compliance

Institutional knowledge is crucial to properly implementing regtech

Compliance Reporter 3 December, 2017

Ex-regulators see shift under Clayton

Gentler approach seen under new SEC chair

Jason Bisnoff 25 October, 2017

Third-party compliance risks every business needs to know

Compliance departments need to keep tab on third-parties outside their home base

Compliance Reporter 11 September, 2017

Why financial institutions cannot reform investment advice by waiting for the DOL

How compliance should respond to fiduciary duty changes

Peter Rawlings 30 August, 2017

Tackling the SEC’s investment company reporting modernization rules

How CCOs should prepare for the SEC’s fund modernization rules

Compliance Reporter 12 July, 2017

CFTC permits registered CTAs to use third-party recordkeepers: What CCOs need to know

The CFTC gave CTAs the same flexibility as other types of firms

Compliance Reporter 24 May, 2017

Waking up to cybercrime: the real risk to private equity

The biggest cyber threat for PE firms comes from within their businesses

Compliance Reporter 9 May, 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

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




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