SEC revokes fund voting guidance

It just got harder for mutual fund managers to rely on proxy advisory firms

Peter Rawlings 19 September, 2018

TORA integrates with NEX reporting tool while Nucleus195 launches today

Emily Sakamoto 21 September, 2018

Firms should take heed to communicate with regs

Jason Bisnoff 21 September, 2018

Firms should take heed to communicate with regs

Jason Bisnoff 21 September, 2018

Determinations continue to be evaluated case-by-case

Jason Bisnoff 20 September, 2018

The firm last year withdrew from an agreement not to sue defecting employees

Peter Rawlings 20 September, 2018

The rising cost of compliance: From dollar costs to lost business

How to analyze the full scope of compliance expenses

Compliance Reporter 1 June, 2018

New know-your-customer AML due diligence rule set for May 11

How to comply with new FinCEN requirements

Compliance Reporter 16 April, 2018

How regulators are striving to keep up with the crypto craze

Regulators have been issuing numerous guidelines and statements

Compliance Reporter 2 April, 2018

After a pause, the SEC’s administrative proceedings are up and running again

Peter Rawlings 11 September, 2018

Industry feedback on Reg. BI has left the SEC with dozens of questions and comments to digest

Peter Rawlings 24 August, 2018

Dead and going

28 June, 2018

Seeing beyond

6 June, 2018

Pay-to-play today

22 May, 2018

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