Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1 (PDF) SECCC
On May 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying frequent security risks associated with the storage of
The Role of AI and Other Emerging Technologies in Investment Management When: June 5, 2019 Where: Blank Rome LLP 1271 Avenue of the Americas, 16th
Firms Elect Securities America Financial Corporation’s Jim Nagengast to FINRA Board of Governors Nagengast Elected to Fill One of Three Large-Firm Seats on FINRA Board
In line with the OCIE’s National Exam Priorities targeting its examination efforts to prevent harm to retail investors the SEC announced March 11, 2019, that
In a first time release, stemming from agency initiatives to improve its relationship with regulated entities, the Commodity Futures Trading Commission (CFTC) recently announced its
While we know you prefer a box of chocolates today instead of this industry update on compliance, this one is a gift and hence, will
You may recall after Clayton took the helm as Chairman at the SEC, the agency disclosed that it had its own cyber breach and the
These government shut downs don’t usually go on indefinitely. Before we blink an eye, examiners will be back on the beat. CCOs must stay vigilant.
When: November 8, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom
