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