Compliance procedures have long been a key matter when it comes to material non-public information or inside information. This is particularly true for regulated entities that are required to have such systems. And, the systems can effectively constitute the first …

Compliance Failures Result in $1Million Penalty Read More »

Compliance is critical for any organization. Investment advisers and broker-dealers are required, for example, to have effective, implement compliance procedures. Despite the benefits of constructing and maintaining an effective compliance system, ranging from enhancing the culture of the firm to …

Failure to Implement Compliance Program Spells SEC Liability for B/D Read More »