Topic
Compliance
1,606 published works
Financial Services Observer
Internal Reviews Covering the Use of AI by FINRA Associated Persons
By John Lukanski, William Mack, Steven M. Malina
FINRA member firms (“Members”), and the enterprise organizations in which many sit, are moving rapidly to deploy firm-approved artificial intelligence tools for use by their employees. As adoption accelerates, the…
The Formiti Privacy News Blog
Swiss Representative Guide for nFADP Compliance
By Formiti
A Swiss representative guide for nFADP compliance: when Article 14 applies, what the role covers, and how to run it operationally.
Banking, Finance and Securities
“Small” Registered Investment Advisors May Have Big Compliance Requirements under Reg S-P: What Firms Need to Do
As of June 3, 2026, smaller registered investment advisers (RIAs) must now comply with significant amendments to Regulation S-P (“Reg S-P”), the Securities and Exchange Commission’s primary rule governing the protection…
Lathrop GPM
Attention: Federal Contractors – Compliance Update
By Lathrop GPM
Federal contractors and subcontractors should remain mindful that their obligations relating to protected veterans remain in full force despite developments affecting other federal contractor compliance requirements. In particular, covered employers…
Triage Health Law
What Medicare Advantage Organizations Need to Know About OIG’s 2026 Compliance Guidance
In February 2026, the U.S. Department of Health and Human Services Office of Inspector General (OIG) released new Industry Segment-Specific Compliance Program Guidance (Guidance) for Medicare Advantage Organizations (MAOs). While…
Compliance Building
When Compliance Says “Do It”, But the Firm Doesn’t
Pay $500,000. Get Censured. Independent Financial Group was a dually registered broker-dealer and investment adviser. It had investment discretion over at least $100 million in reportable securities under Rule 13f…
The Legal Wire
Conducting Through Chaos: How Legal Leaders Can Turn Disruption into Strategic Advantage
By Zoe Dodman
The role of the General Counsel and Chief Compliance Officer is undergoing a profound transformation. Once viewed primarily as legal advisors and risk managers, today’s leaders are increasingly expected to…
Board HR
Inside a POSH Inquiry: Why Presiding Officers and Internal Committee Members Need More Than a Policy
By Board HR
Inside a POSH Inquiry: Why Presiding Officers and Internal Committee Members Need More Than a Policy📩 Labour Code Compliance Services, Training & Awareness Programs:info@clicknexi.com 📞 +91 9987757769Tomorrow | 12 September…
The Securities Law Blog
President’s Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000
The President’s Council onYear 2000 Conversion, the Securities and Exchange Commission(SEC), the National Association of Securities Dealers(NASD), the New York Stock Exchange (NYSE), the InvestmentCompany Institute (ICI), and the Securities……
SpotDraft Blog
Contract Compliance Management Guide for Regulated Teams
By SpotDraft
Contract compliance management keeps contracts aligned to regulation long after signing. See the framework regulated legal teams use to stay audit-ready.