D&O Liability Insurance Considerations for Financial Institutions
D&O Liability Insurance Considerations for Financial Institutions.
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1
This is a two-part series. The first part discusses the SEC’s Share Class Selection Disclosure results.
Have You Documented Your Data Storage Vendor Due Diligence?
Mitigate data storage security risks effectively. Contact us for help with your SEC cybersecurity compliance & SEC compliance software needs.
Chief Compliance Officer Roundtable: Breakfast Briefing – June 5, 2019
Explore the impact of AI and emerging technologies in investment management. Join our SEC compliance conferences for insights & discussions.
Latest From FINRA
Jim Nagengast elected as FINRA Large-Firm Governor. Learn the results of the special meeting and its implications. Get FINRA compliance help!
79 Advisers Self Report and $125 Million Returned to Investors
Learn about the SEC’s share class initiative, its impact, and settlement terms for investment advisers. Understand SEC compliance examination
CFTC Releases Exam Priorities
Discover the CFTC’s examination priorities for 2019, including cryptocurrency surveillance and customer fund protection.
FINRA’S Box of Chocolates
Learn about FINRA’s guidelines for including pre-inception index performance data in institutional communications.
A Motivated Agency: The SEC Closing the Loop on the Edgar System Cyber Breach
Explore the SEC’s charges against defendants for participating in the cyber breach scheme targeting the EDGAR system
Examiners Take Reprieve with Gov’t Shut Down, But CCOs Must Carry On
Explore the SEC’s annual release of National Exam Program priorities for 2019. Be informed about key focus areas & SEC compliance examination
Chief Compliance Officer Roundtable: Breakfast Briefing – November 8, 2018
Industry experts at Blank Rome LLP’s seminar for chief compliance officers. Explore current compliance topics. Register now!
Pre-Dating & Back-Dating are Equally Risky
SEC suspends three BDO accountants for improper conduct during AmTrust audit. Contact us to ensure proper SEC compliance filings.