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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?…

A popular brand of VPN software recently had usernames, passwords, and IP addresses published on a dark web hacker forum…

The COVID-19 pandemic and the resulting market volatility have led several governments to amend law and regulation in the context…

A well-known New York-based financial institution is the most recent financial services firm to report a pair of data breaches…

The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment…

Let us be clear…. we’re actually talking about the potential increase in production of point-of-investment disclosure documents for investment managers….