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