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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Volcker Offers Sweeping New Reform Ideas
Image: Paul Volcker, the famed former Fed chairman and namesake of the most controversial rule in the Dodd-Frank Act, is proposing a slate of financial reform proposals that would merge the SEC and CFTC and create new regulatory agencies. The Volcker Alliance—a non-partisan, non-profit organization launched in 2013—issued a report ...
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Basic PageSEC postpones compliance date for amendments to investment company names rule
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News BriefFirm, two execs fined, including ex-CCO, for misappropriating $220K, SEC alleges
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.