- WomenInCompliance.com – meet speaker Neshie Tiwari, CCO of Ellevest
- SEC hands out $90 million to whistleblowers in April 2018 alone
- SEC Standard of Conduct for Inv Pros
- SEC fines Yahoo (aka Altaba) $35 million for failing to disclose massive cybersecurity breach
- The regulatory case and example of Wells Fargo
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Tag Archives: accumulators
Multi-Convergence in Global Asset Management – Regulation in the Spotlight For the last few years, the global asset management industry has seen increasingly blurry lines of demarcation in key business areas previously treated as silos. – On the product side, … Continue reading