Category Archives: Compliance
Subscribe to Compliance RSS FeedAnother Cop on the Beat? CFP Board Signals Increased Enforcement Focus
Pitfalls to Avoid in Investment Adviser Compliance Programs: SEC OCIE Risk Alert
OCIE Finds Supervision Failures at Multiple-Branch Office Investment Advisers
Ready or Not…Government Contractor Cybersecurity Requirements Roll Out This Month
2020 NASAA Fintech and Cyber Security Symposium – A Download of Key Comments
The SEC Speaks 2020: Enforcement Panel Signals Full Speed Ahead Regardless of the Pandemic
Congressional Investigations: A Month In, Congress Signals Close Scrutiny of CARES Act and Paycheck Protection Program
DOJ Puts Collection of Civil Penalties on Hold in Response to COVID-19
Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities
SEC Enforcement Co-Directors Issue Statement on Insider Trading
COVID-19: Securities Regulators and Industry Associations Issue Coronavirus Guidance and Relief
FERC Directs NERC to Amend its Sanctions Guidelines by July 21, 2020
FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities
SEC 2020 National Exam Program Examination Priorities
North American Securities Administrators Association (NASAA) Releases Model Cybersecurity Rule
Positive FCA Enforcement Trend for Defense Contractors: DOJ Reaffirms Commitment to Exercise Statutory Authority to Dismiss
New Rules for Small Business Government Contractors
CFPB Announces Intent to Reconsider Disclosure Rule
Pending U.S. Supreme Court Case Could Impact Judicial Deference to Agency Rulemaking
CFPB Provides Updated Guidance Related to Loan Forgiveness Program
Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Uncategorized