Small print opens door to bucketing relief

The SEC said it might grant relief from the controversial liquidity rule provision

Peter Rawlings 12 July, 2018

Kenneth Polite will join the firm’s Philadelphia office

Jason Bisnoff 16 July, 2018

The court once again affirmed Matthew Martoma’s conviction

Jason Bisnoff 16 July, 2018

The court once again affirmed Matthew Martoma’s conviction

Jason Bisnoff 16 July, 2018

The CBOE filed for approval to list a bitcoin ETF

Peter Rawlings 16 July, 2018

Lisa Phelan joins the firm’s Washington, DC, office

Jason Bisnoff 13 July, 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

If patience is a virtue, those in the exchange-traded fund industry are approaching sainthood

Peter Rawlings 13 July, 2018

Recent challenging regulations are dying, but compliance teams still face a difficult road ahead

Peter Rawlings 28 June, 2018

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