Here comes the judge

The SEC faces the prospect of two big Supreme Court decisions

Peter Rawlings 7 July, 2017

To report or not report

Regulators are continuing to push CCOs to preemptively inform them of violations

Peter Rawlings 26 June, 2017

A long time coming

At long last the first fiduciary rule deadline arrives

Peter Rawlings 12 June, 2017

A shave and a trim

Regulators are facing potentially budget cuts and constraints

Peter Rawlings 30 May, 2017

Deregulatory harmony

A chorus of different voices is pushing for Volcker reform

Peter Rawlings 10 May, 2017

Breaking ground

The first ever Volcker rule enforcement should put firms on alert

Peter Rawlings 27 April, 2017

Give a little whistle

Recent investigations should prompt CCOs to review their whistleblower policies

Peter Rawlings 17 April, 2017

Changing tracks

Shake-ups at the regulators have industry groups eyeing a change in direction

Peter Rawlings 31 March, 2017

Running to keep pace

How can firms help C/Os keep up with technological changes?

Peter Rawlings 15 March, 2017

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