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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.