By Lori Tripoli2019-09-10T13:44:00
The SEC’s Office of Compliance Inspections and Examinations suggests a policy and procedure review for investment advisers for certain “principal trades” involving clients.
2025-08-01T22:31:00Z By Oscar Gonzalez
The Securities and Exchange Commission is taking its pro-crypto messaging on the road, planning a series of events for its Crypto Task Force that will be held across the U.S. starting on Aug. 4.
2025-08-01T20:07:00Z By Aly McDevitt
The DOJ is warning that simply scrubbing DEI-related words from policy documents or training materials—and replacing them with thinly veiled proxies—will not protect federally funded organizations from legal scrutiny.
2025-07-31T20:37:00Z By Neil Hodge
When growth slows, governments often cut rules to attract investment, as the U.K. has in its financial services sector, which contributes 8.8% of GDP, but easing the “compliance burden” raises concerns about oversight, governance, and prioritizing profits over safety.
2025-07-30T20:01:00Z By Ruth Prickett
The U.K. Employment Rights Bill is expected to pass into law this year and will affect millions of workers. Compliance managers are advised to hone their understanding of HR and equality issues in preparation.
2025-07-30T15:56:00Z By Adrianne Appel
The U.S. Environmental Protection Agency has placed a decades-old rule that limits air pollution from cars and trucks on the chopping block, potentially endangering the Clean Air Act.
2025-07-28T17:50:00Z By Ruth Prickett
As of July 22, U.K. companies hiring foreign nationals on skilled worker visas face higher salary and qualification requirements. Over 100 jobs were also removed from the list of roles eligible for overseas recruitment. Compliance managers should ensure policies are updated to reflect the changes.
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