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Can we say that now? That’s what attendees at the recent CSS Compliance Conference in Scottsdale, Arizona wanted to find…
Regulators and legislators certainly have been busy in 2019, leaving little breathing room for financial firms. More data privacy laws…
I like to get to conferences early when I can. It lets me absorb the local environment, which often informs…
Last week we discussed the changes to the Massachusetts IA Disclosure Rule. That is not the only state legislature that…
The states continue to be busy with new rule-making! On June 14, 2019 the Massachusetts Securities Division (the ‘Division’) adopted…
The Securities and Exchange Commission (SEC) has for years stressed that registrants’ disclosure in regulatory filings needs to be written…
The Commodity Futures Trading Commission (CFTC) isn’t holding back when it comes to holding firms accountable for protecting their client’s…
Cybersecurity regulations have landed ashore on the islands, and life is about to become anything but a beach for firms…
On September 4, 2019, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued another risk…
At its August 21, 2019 Open Meeting, the Securities and Exchange Commission (“SEC”) voted 3-2 to issue guidance to assist…
We have been conducting roundtables and talking to industry leaders to help them identify the challenges that broker-dealers will face…
In order to pay federal taxes, many licensed, regulated, cannabis companies have to launder their cash. Why? Because banks will…
