The SEC Lifts a Weight From Shareholder Shoulders
Published:
Expertise Area:
Risk Management & Compliance
DOL’s Latest Step to Expand Investment Opportunities for Retirement
Published:
Expertise Area:
Litigation Support & Enforcement, Risk Management & Compliance
The CFTC Votes to Provide Firms More Time and Clarity Around Initial Margin for Uncleared Swaps
Published:
Expertise Area:
Risk Management & Compliance
Teleforum: How To Put Your Best Foot (or Face) Forward in Virtual Regulatory Exams During This Time of COVID-19
Published:
Expertise Area:
Risk Management & Compliance
Three Key Takeaways From Patomak’s Teleforum on Virtual Regulatory Exams
Published:
Expertise Area:
Risk Management & Compliance
Investment News: Brokerages Won’t Know Bite of Reg BI Until Enforcement Begins
Published:
Expertise Area:
Risk Management & Compliance
Federalist Society Podcast: Agency Staff Regulatory Guidance
Published:
Expertise Area:
Risk Management & Compliance