Compliance & Regulation

The compliance consulting firm made the hire as it becomes expands becomes more complex,' according to an announcement.

The proposed regulations could alter how insurance would be provided, but uncertainty over the final rules has frustrated stakeholders.

Grappling with European sustainable finance rules was one of the central themes of this year's Impact Investor Global Summit and uncertainty was order of the day.

With the SEC’s proposed rules requiring funds to back up their ESG claims, firms are turning to compliance and training to avoid enforcement crosshairs.

LPs are going to blame you for cybersecurity breaches and close calls, even if they caused them.

Many fear ‘unintended consequences’ from proposed rules.

Democratic SEC commissioner Caroline Crenshaw says she'd like to see Nasdaq and other exchanges restore redemption thresholds for SPAC shareholders.

An ESG-focused US SEC could be good news for more than just compliance consultants.

'Disturbingly' quick SEC rule changes may work against investor interests.

There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a recent deficiency letter.