If patience is a virtue, those in the exchange-traded fund industry are approaching sainthood
Recent challenging regulations are dying, but compliance teams still face a difficult road ahead
CCOs need to keep one eye abroad
Another round of elections is already almost here, and with it a renewed warning for compliance officers
As the DOL fades, the SEC comes out with a new proposal
The DOL's rule was struck down, but will firms change their practices?
Regulators seem content to bide their time as firms try to address cryptocurrency concerns
SEC examiners' retail focus doesn't mean CCOs of all stripes shouldn't be on guard
Repeating warnings from regulators about off-the-shelf compliance
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