News

Clayton: SEC should target individuals

The nominee outlined his enforcement philosophy during a confirmation hearing

Peter Rawlings 24 March, 2017

Treasury unit seeks to streamline reporting

The Office of Financial Research has a new initiative to reduce regulatory reporting

Peter Rawlings 24 March, 2017

News roundup: PwC settles MF Global suit; Warren wants SEC to eye Icahn

Today’s compliance news from around the web

Peter Rawlings 24 March, 2017

New admin won’t halt fiduciary investigations

The election of Donald Trump will not stop investigators at the Department of Labor from going after plan fiduciaries.

Max Viscio 23 March, 2017

State regs seek SEC representation

NASAA has released is new legislative priorities

Jason Bisnoff 23 March, 2017

NFA wants to ease recordkeeping certifications

The SRO weighed in on the CFTC’s proposed changes to Regulation 1.31

Peter Rawlings 22 March, 2017

FINRA aims to streamline competency exams

The SRO has recently filed a proposal with the SEC

Jason Bisnoff 22 March, 2017

News roundup: Bharara heads to NYU; CalPERS pushes CEO pay rule

Today’s compliance news from around the web

Peter Rawlings 22 March, 2017

Fund industry optimistic about reg changes

The ICI thinks a Clayton-led SEC will help it achieve elements of its regulatory agenda

Stan Wilson 21 March, 2017

Canadian regs guide on investment firm disclosure

The OSC recently reviewed disclosures at 12 firms

Jason Bisnoff 21 March, 2017




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