SEC revokes fund voting guidance

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

Peter Rawlings 5:37 PM ET

Joseph Brennan will lead a team of more than 800 across data, enterprise and information security divisions

Emily Sakamoto 5:39 PM ET

Thomas J. Herzfeld has brought on Thomas Morgan as CCO

Jason Bisnoff 19 September, 2018

Thomas J. Herzfeld has brought on Thomas Morgan as CCO

Jason Bisnoff 19 September, 2018

Daniel Gregus has been named the new head of the clearing exam office

Jason Bisnoff 18 September, 2018

Kevin Clifford had led the firm since 2002

James Connington 18 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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