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Ans what it has to say is encouraging, seen in the right light
StarCompliance held its 2018 US User Conference last week in Washington, D.C.
The country's new regulators are in place and represent a decisive shift in regulatory approach
A guide for compliance officers in enterprise financial firms
47,000 firms will be affected by the new regulations, as well as countless individual employees
DPAs remain popular enforcement mechanisms around the world, but questions linger
A guide for compliance teams operating in enterprise financial institutions
September 1 is the next important date to keep in mind for 23 NYCRR §500
When it comes to market misconduct, the more things change the more they stay the same
As with financial regulation anywhere, the burden to comply rests primarily with the regulated