SEC examiners targeting cross-trade, fee disclosures

The agency’s Chicago office has been scrutinizing Form ADV filings in recent exams

Jason Bisnoff and Peter Rawlings 13 June, 2018

In a 6-3 decision, the court rendered an ALJ’s ruling invalid

Peter Rawlings 21 June, 2018

The EU rule required unbundling of research payments

Jason Bisnoff 21 June, 2018

The EU rule required unbundling of research payments

Jason Bisnoff 21 June, 2018

Today’s compliance news from around the web

Peter Rawlings 21 June, 2018

Dakota Securities International was also expelled from SRO membership

Peter Rawlings 20 June, 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

CCOs need to keep one eye abroad

Peter Rawlings 6 June, 2018

Another round of elections is already almost here, and with it a renewed warning for compliance officers

Peter Rawlings 22 May, 2018


14 March, 2018

No free pass

22 February, 2018

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