The Regulatory & Compliance Update provides news, insight and market knowledge on hot button regulatory and compliance issues impacting the financial services industry. Written by leading attorneys in the regulatory and compliance space, the Regulatory & Compliance Update is designed to assist its readers in navigating the changing regulatory and compliance landscape in the United States and globally.
The Regulatory & Compliance Update is the source for cutting edge industry insight on compliance developments and regulation involving the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act, U.S. Securities and Exchange Commission (“SEC”) registration of investment advisers, Form ADV, Form PF, the Volcker Rule and the new CFTC rules.
The Regulatory & Compliance Update provides its readers with key information on SEC developments, rulemaking and pronouncements. Just some of the topics covered include insider trading, market manipulation, use of consultants, the U.S. Foreign Corrupt Practices Act (FCPA), anti-money laundering and bank regulatory issues, SEC inspections, structured products & derivatives, political contributions, and valuation policies.
Contributors to the Regulatory & Compliance Update provide insight into industry best practices for compliance and for implementation of compliance policies and procedures and preparing for SEC inspections. International regulatory and compliance issues are also a focus, in particular, EU regulatory and compliance issues and regulatory compliance developments in Asia, particularly Hong Kong, Japan and Singapore.
In addition, the Regulatory & Compliance Update provides its readers with critical information on other topical areas including ERISA, tax, bank regulatory issues, registered investment companies and broker/dealers.
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