Treasury’s Recommendations for the Volcker Rule By Steve Quinlivan on 07/19/2017 … Continue Reading Treasury’s Recommendations for the Volcker Rule
Faulty New Computer System Results in SEC Bringing MD&A Related Charges By Steve Quinlivan on 06/16/2017 … Continue Reading Faulty New Computer System Results in SEC Bringing MD&A Related Charges
SEC Charges Chief Compliance Officer with AML Violations By Steve Quinlivan on 06/14/2017 … Continue Reading SEC Charges Chief Compliance Officer with AML Violations
CFTC Revises Record Keeping Requirements By Steve Quinlivan on 05/24/2017 … Continue Reading CFTC Revises Record Keeping Requirements
CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports By Steve Quinlivan on 05/03/2017 … Continue Reading CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports
SEC Requires Hyperlinking of Exhibits By Steve Quinlivan on 03/05/2017 … Continue Reading SEC Requires Hyperlinking of Exhibits
OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers By Steve Quinlivan on 02/08/2017 … Continue Reading OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers
Pay-to-Play Enforcement Sweep Snares Private Equity and Venture Capital By Steve Quinlivan on 01/20/2017 … Continue Reading Pay-to-Play Enforcement Sweep Snares Private Equity and Venture Capital
The Domestic Corrupt Practices Act Arrives According to the SEC By Steve Quinlivan on 12/02/2016 … Continue Reading The Domestic Corrupt Practices Act Arrives According to the SEC
SEC Charges Issuer with Inadequate Segment Reporting By Steve Quinlivan on 11/07/2016 … Continue Reading SEC Charges Issuer with Inadequate Segment Reporting