NEWS & GUIDANCE
A best practice guaranteed to reduce a compliance officer’s risks of facing possible enforcement liability from the SEC is to act on red flags. But even this fundamental responsibility can come with career-damaging consequences. Say the red flags lead to a senior official at the firm. The CCO brin...
Entities are increasingly popping up whose business model is based specifically on providing “accredited investor” certification services. “The need is out there due to the JOBS Act,” says David Benway, CEO of VerInvest Corporation, whose Accredited Investor Certification Service for the alternative...
Everyone from the White House on down seems focused on enhancing the industry’s cybersecurity preparedness and practices. Last week, President Obama released an executive order calling for strengthened security of consumer data. The President cautioned that data breaches and identity crimes “continu...
Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.
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Speeches from key industry regulators
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