Ketchum Underlines Focus On Culture

FINRA Chairman and CEO Richard Ketchum pointed to estimates that fines and litigation costs to firms, or their parent companies, related to cultural failures have totaled more than $300bn since 2010.

Ben Maiden 19 April, 2016

Allegations over mutual fund sales charge waivers.

Ben Maiden 19 April, 2016

Group wants dealers to be allowed to use reasonably designed policies and procedures.

Ben Maiden 19 April, 2016

Group wants dealers to be allowed to use reasonably designed policies and procedures.

Ben Maiden 19 April, 2016

Polled officials about the extent of their compliance programs and their focus issues.

Peter Rawlings 19 April, 2016

Response to proposed liquidity risk management rule reforms for mutual funds.

Stan Wilson 18 April, 2016

Security-Based Swap Dealers: Gearing Up For Registration

Firms are starting to consider implementation plans for the new regime.

compliance.reporter 12 April, 2016

How Private Funds Can Tackle Books And Records Demands

Private investment firms should anticipate that some investors may explore litigation options.

compliance.reporter 24 March, 2016

Preparing For U.S. Uncleared Swap Margin Rules

Swap dealers will soon need to comply with margin collection, posting, segregation and documentation requirements.

compliance.reporter 14 March, 2016

The DoL’s fiduciary rule is only likely to bring more scrutiny of individual brokers.

Ben Maiden 19 April, 2016

“I could never end up in jail,” many executives might well think. And they’d have a point.

Ben Maiden 31 March, 2016

Picking Up The Regulatory Tab

17 February, 2016

Getting The Message Out

3 February, 2016

In The Money

20 January, 2016

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