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

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

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

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