Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1 (PDF)
Have You Documented Your Data Storage Vendor Due Diligence?
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
Chief Compliance Officer Roundtable: Breakfast Briefing – June 5, 2019
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
Latest From FINRA
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
79 Advisers Self Report and $125 Million Returned to Investors
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
CFTC Releases Exam Priorities
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
FINRA’S Box of Chocolates
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
A Motivated Agency: The SEC Closing the Loop on the Edgar System Cyber Breach
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
Examiners Take Reprieve with Gov’t Shut Down, But CCOs Must Carry On
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.
Chief Compliance Officer Roundtable: Breakfast Briefing – November 8, 2018
When: November 8, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom
Pre-Dating & Back-Dating are Equally Risky
The SEC today suspended three accountants formerly of BDO USA LLP for improper professional conduct during its 2013 audit of AmTrust Financial Services Inc., an
Fiduciary Duty
On Friday, September 28, 2018 the SEC charged LendingClub Asset Management (LCA) and its former president Renaud Laplanche with fraud for improperly using fund money
