Eversheds Sutherland report found FINRA disciplinary actions and fines dropped from 2021 to 2022; according to partners, Reg BI actions are likely to rise.
A $775,000 settlement for Waddell & Reed relating to its pre-LPL days displays how the regulator is ramping up enforcement of such cases, experts said.
Theorycraft Games Raises $50 Million to Maintain Long-Term Focus on Talent and Game streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.
Many compliance officers believe they have targets on their backs. Indeed, according to industry-wide surveys conducted by the National Society of Compliance Professional (NSCP), 72% of.
Dear SEC: The compliance community wants to be a partner, not a target complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.