Archive - January 2017

Regulatory Hot Topics in Financial Services for 2017

Regulatory compliance is always top of mind in the financial services industry, and all the more so this year, with the sweeping, and sometimes conflicting, changes that many expect on the American political landscape. So it wasn’t surprising that...

Compliance Insights Latest: Regulator Warns on Sales Incentives, New York Fed on Ethics, and More

Culture and ethics are important in financial services; this much has always been clear to anyone working in the industry. Consumers and businesses alike place a great deal of trust in the system, and continue to hold it in high regard even in light...