2015-09-09T12:45:00Z By Joe Mont
Investment advisers have never had to face formal anti-money laundering requirements. That is about to change. A proposed rule by the Treasury Department’s Financial Crimes Enforcement Network adds them to the definition of “financial institutions” and demands comprehensive anti-money laundering programs. That has raised concerns of cost and redundancy and ...
2015-01-21T15:30:00Z By Joe Mont
While companies await results of the SEC’s ongoing review of its disclosure regime (hint: do not hold breath), they can just as well try the same at home. Creating a disclosure committee, cutting redundancy in 10-K risk factors and MD&A sections, spotlighting material information, and using charts and graphs are ...
2026-01-05T13:29:00Z By Ruth Prickett
What will you be doing in the coming year? We asked experts in a range of sectors to gaze into their crystal balls and highlight one legal development or compliance topic that will be critical for compliance teams in 2026. This is an edited version of what they told us.
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