Check Them Out

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

Ben Maiden 19 April, 2016

Money Talks…Will Executives Listen?

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

Ben Maiden 31 March, 2016

Time To Check Your Robos

Don't be fooled by a relative lack of regulatory action so far.

Ben Maiden 16 March, 2016

Culture Clash

FINRA has given tangible form to the regulatory “culture movement.”

Ben Maiden 2 March, 2016

Picking Up The Regulatory Tab

The battle for bigger budgets.

Ben Maiden 17 February, 2016

Getting The Message Out

Using letters to bring about change in the regulatory/compliance world.

Ben Maiden 3 February, 2016

In The Money

In the compliance and regulation world, sniffing out problems and doing the right thing can lead to personal benefits.

Ben Maiden 20 January, 2016

New Year, New Arguments

The FCA has sparked political fireworks by dropping a review of banking culture.

Ben Maiden 6 January, 2016

With Great Power…

CCOs in New York are going to have their names on the line. Literally.

Ben Maiden 23 December, 2015

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