Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual report. The ...

As discussed in our prior article, it's important to have a well-built foundation for your compliance program. But creating the program is just the start of the journey. Compliance is a journey ...

Will Kenton is an expert on the economy and investing laws and regulations. He previously held senior editorial roles at Investopedia and Kapitall Wire and holds a MA in Economics from The New School ...

On March 7, the Department of Justice (DOJ) announced a new whistleblower reward program intended to help prosecutors bring more foreign corruption cases. Under the new program, individuals who report ...

Does your long-term care organization have liability and property insurance? The answer to both, without hesitance, is “yes.” However, there is a third area of “insurance” that, while equally ...

Ethics and compliance faces a counterbalance between regulatory challenge and business opportunity. On one side is an increasingly complex matrix of rules governing global business. On the other are ...