News & Analysis as of

Enforcement Actions Securities Regulation Chief Compliance Officers

DLA Piper

Key Considerations for Compliance Officers Under President Trump

DLA Piper on

The Trump Administration has ushered in massive shifts in enforcement and policy priorities. From crypto to anti-corruption measures and tariffs to technology, the new Administration has changed the compliance landscape...more

Burr & Forman

FINRA Clarifies CCO Supervisory Liability

Burr & Forman on

In the securities industry, regulators like to say that the compliance professionals are their “partners.” But every so often, those regulators charge one of their compliance partners with rule violations. The compliance...more

2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide