News

Supreme Court to hear whistleblower anti-retaliation case

The court will examine whether a whistleblower must report to regulators to be protected

Jason Bisnoff 28 June, 2017

Wells Fargo fined $3.25m over options reporting

FINRA said the firm for years failed to report large over-the-counter transactions

Peter Rawlings 28 June, 2017

Private fund lobby criticizes CAT funding

The MFA said the SEC should get more feedback from the industry

Peter Rawlings 27 June, 2017

Cybersecurity rules variance stymies firms

Firms would like to see more harmony in cyber rules among various agencies

Jason Bisnoff 27 June, 2017

Firms see more compliance staff turnover

Tougher regulations have driven demand for experienced C/Os

Peter Rawlings 26 June, 2017

Technology and testing key to disaster recovery, BCP

An NSCP program outlined the keys for compliance

Jason Bisnoff 26 June, 2017

Cooperation between firms key to cybersecurity

Industry members say competition shouldn’t matter when it comes to cyber threats

Jason Bisnoff 23 June, 2017

SEC officials warns against asset manager systemic risk

The SEC economist said run-risk is growing as many open-end funds tap into fixed income and alts

Stan Wilson 23 June, 2017




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