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The list of rulemaking changes, technology advancements and possible policy shifts is enough to send you hiding for cover under your desk. Educating yourself is your best option for assisting your firm with the continually evolving regulatory landscape.

The defense of a CCO’s reputation against liability claims costs significant money, and adds up whether you did something wrong or not, sparking the potential need for an individual liability policy.

The NFA recently amended NFA Compliance Rule 2-46 to impose a $200 late fee for each business day that members are late with their filings. This late fee will become effective for all such filings starting on September 30, 2016.

The SEC has expanded its cybersecurity examinations to include testing of firms’ implementation of procedures and controls

Ascendant’s ongoing education series ComplianceCast returns on Thursday, June 16 at 2 pm ET with an episode focused on regulatory…

A password manager is a much better way to keep track of your passwords and ensure they are all secure and up to industry standard. Browser-saved password don’t offer a lot and can sometimes lead people into the pitfalls of poor password management.