Financial Services

The 6 Hats of the AML Officer

Duff & Phelps’ Global Regulatory Outlook report found that while financial institutions globally are devoting considerable energy and resources to AML efforts, there is still work to be done at the firm level. John Arvanitis discusses. The increasing complexity and...

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investment adviser sitting with professional clients

Bressler, Amery & Ross attorneys Kerry Zinn and Jacqueline Aleman discuss the SEC’s recent actions in light of the 2018 Share Class Disclosure (SCD) Initiative, which encourages self-reporting for 12b-1 conflict disclosures.  with co-author Jacqueline Aleman In February 2018, the...

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Compliance Job Interview Q&A
  • Ying July 18, 2019
    SEC Obtains Final Judgment Against Former Equifax Executive Charged with Insider Trading
  • Mark Loman July 18, 2019
    SEC Charges Former Company Controller with Insider Trading
  • Paul Alar and West Mountain, LLC July 18, 2019
    SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets

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