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47,000 firms will be affected by the new regulations, as well as countless individual employees
A guide for compliance officers in enterprise financial firms
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
Onsite and offsite hosting each have their own distinct advantages and disadvantages. Here's..
Optimizing your compliance program for Law No. 12,846
Will it become a legislative model for the rest of the country? It may not matter
From prep-work to software, five steps to a more efficient and more effective process