Fraud in the office occurs much more frequently than you may believe. Some crimes can actually take down a firm. A few simple measures can ...
Those who focus their glare of inquiry on others will have the lens turned on them, as the SEC’s Office of Inspector General has revealed ...
A relationship with a compliance consultant paves a two-way street. Be sure to give any consultant you hire full information
In justifying the proposal, the SEC noted the COVID effect. "Overall, the market events in March 2020 show how liquidity can deteriorate rapidly and significantly”
The SEC Enforcement Division works with DOE examiners to look for 'misconduct' and using sophisticated data analysis 'to identify potential violations'
Goldman “only completed the newly developed ESG questionnaires for all positions after securities were already selected”
No doubt you anticipate more headaches should your firm permit staff to use text messages for work but you may be fighting in vain against ...
'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'
The new ad rule requires firms to be able to substantiate the ads’ claims. 'This is a great tool for us,'
said the SEC ...
One bright spot about the new SEC final rule that will force registered funds and institutional managers to report more about their proxy votes is ...