Compliance Bricks and Mortar for February 9

These are some of the compliance-related stories that recently caught my attention. Asset Managers Show Less Concern About Compliance by Ben DiPietro More than three-quarters of respondents said the reduced regulatory concern meant compliance issues are not as significant as they were in the past; 52% said they are more focused on reputational risk the … Read more »

SEC Exam Priorities for 2018

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations announced its 2018 examination priorities. This year, the examination priorities are broken down into five categories: Compliance and risks in critical market infrastructure; Matters of importance to retail investors, including seniors and those saving for retirement; FINRA and MSRB; Cybersecurity; and Anti-money laundering programs. The … Read more »