Company Blog

Unpacking the SEC’s Four-Year Strategic Plan

Dec 11, 2018

In its recently-released Strategic Plan, the SEC outlined and reiterated its commitment and focus on pursuing three primary goals over the course of the next …

Insights from the SEC Enforcement Division’s Annual Report

Nov 15, 2018

Each year, the SEC’s Enforcement Division issues an Annual Report summarizing its activities and initiatives in the most recent fiscal year. The 2018 report, released …

Five Compliance Considerations for M&A in Financial Services

Nov 1, 2018

As anyone who has ever been involved in a company merger or acquisition can attest, a lot of work goes into the due diligence process …

What are the Core Functions of Compliance?

Oct 23, 2018

What is the role of compliance? If you ask that question of employees and senior leaders in some firms, you might hear “to enforce the …

Are You Able to Accurately Monitor Employee Political Contributions?

Oct 12, 2018

With the 2018 midterm elections right around the corner, fundraising efforts are continuing to ramp up for political candidates on both sides of the aisle. …

Is your Compliance Department prepared to show its work?

Oct 12, 2018

When the regulators come calling (and they will come calling, eventually), how will you demonstrate your firm’s compliance with applicable regulations? What if, instead of …

Defining “Success” for Compliance Officers

Sep 19, 2018

How do you measure your professional success as a Compliance Officer? A lack of regulatory actions should not be taken alone as proof that a …

C-Suite Exposure to Market Abuse: Mitigating the Risk

Sep 6, 2018

While most of the attention of regulators is focused on market abuse by regulated financial services firms, the full range of publicly listed companies are …

Considering the Case for Compliance on the Board?

Aug 28, 2018

Historically, members of financial services firms’ boards of directors haven’t had much direct compliance experience. Instead, directors were chosen based on their broad business acumen. …

Is Compliance Expertise Required at the Board Level?

Aug 21, 2018

Historically, members of financial services firms’ boards of directors haven’t had much direct compliance experience. Instead, directors were chosen based on their business acumen. That …

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