John Gebauer News Today

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this episode, Tom Fox welcomes John Gebauer, Chief Regulatory Officer at COMPLY, and...

/PRNewswire/ -- COMPLY, the global market leader of compliance software, consulting and education resources for the financial services sector, has published...

/PRNewswire/ -- COMPLY, the global market leader in regulatory compliance software, consulting and education resources for the financial services sector, today...

The company is paying $75 million in penalties and restitution in connection with SEC allegations that its investment advisory arm overcharged customers it inherited in its Wachovia acquisition in 2008. The settlement is said to show the importance of conducting extensive compliance checks in a rapidly consolidating industry.

The SEC approved rules to increase the transparency and oversight of private funds, which could be costly for private-fund advisors.

A new SEC rule includes a provision that advisory firms must document in writing their annual compliance review.

/PRNewswire/ -- COMPLY, the global market leader of compliance software, consulting and education resources for the financial services sector, published its...

The number of investment advisors hit a record high in 2022, as did total employment in the sector, while assets under management declined.

IAA AND COMPLY INVESTMENT ADVISER INDUSTRY SNAPSHOT FINDS RECORD NUMBER OF ADVISERS AND STAFF SUPPORTING SECTOR

HSBC Securities and Scotia Capital will pay $15 million and $7.5 million respectively to settle SEC charges concerning "off-channel" communications.