Get the latest insights, news and opinion from the compliance technology specialists. Find out what’s new, what’s changing and what the future holds in the world of corporate compliance, market abuse and conflict of interest regulations and technology.
The country's new regulators are in place and represent a decisive shift in regulatory approach
September 1 is the next important date to keep in mind for 23 NYCRR §500
As with financial regulation anywhere, the burden to comply rests primarily with the regulated
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
Governments are figuring out that whistleblowers deserve protection
Advisers Act Rule 206(4)-5 isn't breaking news, but is serious enough to warrant a refresher
The new Markets in Financial Instruments Directive will be as hard to implement as it is to..
What the fast-approaching GDPR means for firms doing business in the EU, wherever in the world..
A primer on the looming General Data Protection Regulation: What it is and how it came about
Taking up the Rule 17a-4 data-storage challenge with people, process, and WORM tape