Compliance News Aggregator
Emerging news and trends in the financial services industry and regulatory compliance.
We’ve compiled news on various topics of interest to compliance professionals and executives of Broker-dealer firms, RIA firms, Fund Managers, and more.
- Regtech – Data driven compliance software solutions
- Fintech – Emerging technology and solutions in Financial Services for investors and firms
- Private Fund, Hedge Fund, Alternative Investments – Regulations and Trends
- Regulatory rule changes and news from FINRA, SEC and other SRO’s
- 2017 Transition of power impact on regulatory enforcement and rulings