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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