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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…

FINRA has consolidated its three examination programs into a single program, a process that started in October 2018. As part…

For years, Tobias Degsell served as a curator and museum educator at the Nobel Prize Museum, an institution renowned for…

Staying informed and responding to changes in shareholding disclosure obligations across multiple jurisdictions is a formidable challenge facing global investment…

With less than one month before the California Consumer Privacy Act (CCPA) is effective, companies are preparing to update their…

The European Securities and Markets Authority (ESMA) has updated its Questions and Answers on the Alternative Investment Fund Managers Directive (AIFMD). One new…