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The capacity of financial firms to comply with the upcoming go-live of SFTR reporting obligations has been critically compromised by…

The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the…

The SEC continues to scrutinize principal and cross-trade transactions in the private fund world. Are such trades illegal? No. In…

While the SEC moved full force in adopting Regulation Best Interest and Form CRS, state regulators were fairly silent on…

Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…

On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…

As the June 30, 2020 compliance date for the SEC’s Regulation Best Interest (“Reg BI”) draws near, broker-dealers are scrambling…

In advance of National Data Privacy Day today, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE)…

The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…

No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning….

Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s…

Global RegTech provider Compliance Solutions Strategies (CSS) today announces its release of Form CRS Automator, the market’s first comprehensive and fully…