Opinion

Escalating costs

Coping with ever-rising compliance expenses

Peter Rawlings 11 October, 2017

Cyber attack attack!

New hacks and rules have cyber issues coming at CCOs from all angles

Peter Rawlings 27 September, 2017

Insiders in focus

Insider trading compliance has returned to the forefront of CCOs' minds

Peter Rawlings 13 September, 2017

View from the top

Perspective and changes from the top of the regulatory agencies

Peter Rawlings 30 August, 2017

Relief on the way

Both the SEC and CFTC have made important changes that should eases the lives of CCOs

Peter Rawlings 1 August, 2017

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



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