Compliance Best Practices

Here are 8 tips to can help make your experience with the SEC 'most helpful'

"To avoid duplicative examinations, the Parties will strive to conduct coordinated exam planning, joint or aligned examinations where appropriate, and share exam findings and supervisory ...

View the process as 'a last opportunity' to shape the direction Enforcement will take

'There’s a broader industry shift underway and this has the potential to be transformational for transparency,' Major Lindsey & Africa's Allison Rosner says.

A peer shares this document to help staff assess the financial and personal situation of aging clients

Sample this COE and you may grab some ideas for improving yours

Did you miss any of our top stories from last month?

It’s not likely your firm will fall under new EDGAR reporting requirements that begin next month, but you should be aware of a new law ...

A new wave of state antitrust measures has rolled in, with 14 states adopting or considering new rules that widen local merger review or that ...

The SEC says the 'primary benefit of the revised 45-day filing deadline would be to reduce the costs that funds might otherwise incur.... The associated ...