October 12, 2020
On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS. In an unusual step,…
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October 2, 2020
On July 21, 2020, The New York State Department of Financial Services (NYDFS) filed its first charges under its Cybersecurity…
September 25, 2020
Every once in a while, I think it’s important to get back to the basics. Since the adoption of the…
September 22, 2020
BME to offer financial services firms in Spain and Portugal a multi-regulation reporting platform Partnership brings a unique combination of…
September 10, 2020
Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading…
September 3, 2020
What makes one firm – and the various professionals who represent it – live and breathe by the book, while…
September 2, 2020
On August 26, 2020, the Securities and Exchange Commission amended Rule 501(a) of the Securities Act of 1933, expanding the…
September 2, 2020
Throughout my career, I’ve never heard a business leader say compliance isn’t important. Time and again, through countless conversations and…
September 1, 2020
Being a Chief Compliance Officer navigating regulatory change is a lot like quarterbacking an offense in an action-packed (American) football…
August 31, 2020
The COVID-19 pandemic and related shutdown of global economies will be remembered as one of the most significant shocks to…
August 28, 2020
As a compliance professional, the past months have probably been the most challenging of your career. Events, whether COVID-19, significant…
August 27, 2020
How prepared was your firm for the disruption of COVID-19 pandemic? Did your firm’s business continuity plan cover a pandemic?…