Blog
Compliance as a Competitive Advantage
The advent of data discovery software tools enables companies to discover information contained within it structure and unstructured data (“Big Data”) through Artificial Intelligence or Machine Learning that was formerly impenetrable.
Let the Whistle Blow
On September 29, the SEC settled an administrative proceeding with investment adviser D.E. Shaw regarding Shaw’s violation of whistleblower protection rules.
Pay Me Now or Pay Me Later – SEC Edition
Last Friday, Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network, the broker-dealer and investment adviser subsidiaries of Wells Fargo bank, settled an administrative proceeding with the SEC for conduct violating the Investment Advisers Act for $35 million.
Ten Steps Compliance Officer Can Take to Avoid Trouble
Being a compliance professional, especially in the financial services industry, is an increasingly stressful way to make a living. New regulations continue to be issued by federal and state regulators. New court decisions regularly interpret or re-interpret existing regulations.