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A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance…

Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.

With investment advisers encouraged to begin filing suspicious activity reports (SARs) as soon as possible upon the issuance of the final anti-money…

CCOs are worried about CCO liability due to various concerns and confusions.

In a first for the country’s growing body of state breach notification laws, Tennessee has recently amended its law to…

The IAA has announced its public support of a bill that would provide relief from the “past specific recommendation” rule

The CRD system’s balance representation’s will now be much more intuitive.

For some attacks, the amount of time to compromise and exfiltrate data is measured in seconds. Time is of the essence when a potential incident occurs.