NEWS & GUIDANCE
All the signs of trouble were there if only CCO James Goodland had paid attention to them, according to a new enforcement settlement with the SEC. Only days after an SEC official warned compliance officers could be charged for negligently conducting their duties (IA Watch, Sept. 24, 2015), the age...
Against a backdrop of legal challenges – including one decided Sept. 29 – and complaints about the SEC’s administrative proceedings system (IA Watch, Aug. 4, 2015), the Commission Sept. 24th proposed changes to its internal legal system. The proposal would extend the time that parties have to prep...
Time has come around again for the filing of the government’s 8-page Form BE-180. Every five years, the Department of Commerce’s Bureau of Economic Analysis asks the industry to divulge financial ties with foreigners. The formal name of the form – Benchmark survey of financial services transaction...
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Speeches from key industry regulators
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