In the News

WSJ: SEC Advances Regulation Efforts Even as White House Signals Rollback

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Expertise Area: Risk Management & Compliance
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Patomak Post

Securities and Exchange Commission Staff Provide Guidance to Investment Advisers on Compliance Requirements for Robo-Advisers

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Expertise Area: Strategy & Advisory
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In the News

WSJ: SEC Says Conflict Minerals, Pay Ratio Rules Remain in Force

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Expertise Area: Risk Management & Compliance
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In the News

Bloomberg Daybreak Americas: Paul Atkins Talks About IPOs, Investor Disclosure

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Expertise Area: Strategy & Advisory
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In the News

CNBC: Paul Atkins Discusses Dodd-Frank Reform, Including the Volcker Rule, and Conflict Minerals

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Expertise Area: Strategy & Advisory
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In the News

CNBC: Patomak CEO Paul Atkins Talks About Financial Regulatory Outlook in 2017

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Expertise Area: Strategy & Advisory
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Patomak Post

Securities and Exchange Commission Details Exam Priorities in 2017

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Expertise Area: Risk Management & Compliance
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In the News

CNBC: Patomak President Dan Gallagher Talks SEC Outlook in 2017

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Expertise Area: Strategy & Advisory
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Patomak Post

SEC Examining the Supervisory Practices of SEC-Registered Investment Advisers’ Branch Offices

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Expertise Area: Risk Management & Compliance
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In the News

WSJ: Election Marks Crossroads for SEC

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Expertise Area: Strategy & Advisory
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In the News

Forbes Op/ed: SEC Must End Mutual Fund Paper Chase

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Expertise Area: Strategy & Advisory
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In the News

Business Insider: There’s a New ‘Hot-Button’ Issue on Wall Street, and Battle Lines are Being Drawn

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Expertise Area: Risk Management & Compliance
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In the News

WSJ: Ex-SEC Official Picked to Monitor Deutsche Bank’s Derivatives Overhaul

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Expertise Area: Litigation Support & Enforcement
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Patomak Post

Keynote Address: Broker/Dealer Regulation and Enforcement 2016

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Expertise Area: Risk Management & Compliance
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In the News

Ignites: Slim Chances for Quick Revival of SEC’s Default E-Delivery

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Expertise Area: Risk Management & Compliance
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In the News

Inside America’s Boardrooms: Former SEC Commissioner Evaluates the Board Governance Landscape

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Expertise Area: Strategy & Advisory
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In the News

“A Day in the Life” of an SEC Commissioner

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Expertise Area: Strategy & Advisory
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In the News

Kurtosys blog: Dan Gallagher on DOL Fiduciary Rule and Market Developments

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Expertise Area: Strategy & Advisory
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Patomak Post

SEC Customer Protection Rule Self-Reporting Deadline Nov 1; Sweep Underway

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Expertise Area: Strategy & Advisory
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Patomak Post

The SEC Trajectory Post Dodd-Frank

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Expertise Area: Strategy & Advisory
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In the News

Investment News: New Finra CEO Cook Will Feel Heat From Both Sides of the Political Aisle

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Expertise Area: Strategy & Advisory
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In the News | Patomak Post

Global Regulatory Standardization: A Critical View

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Expertise Area: Strategy & Advisory
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Testimony

U.S. House Financial Services Subcommittee Testimony by Dan Gallagher

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Expertise Area: Strategy & Advisory
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In the News

Law 360: Ex-SEC Member Backs Cost-Benefit Analysis At Agency

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Expertise Area: Strategy & Advisory
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