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Keyword: Compliance

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Client listening to a lawyer or advisor explaining issues

Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms

Business lawyer team. Working together of lawyer in the meeting.

Appeal Court agrees to rule once and for all on path for quashing a summons

a bright idea

Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

Oversight direction

OSC asked to review OM exemption, beneficial ownership registry being examined

Greenwashing ESG

Experiment finds investors lured by ESG ratings they don't understand

Review highlights improved board diversity, lack of female CEOs, CFOs

Big Ben

FCA review finds an increase in workplace complaints

Two businesswoman using virtual reality glasses at new office to enter the metaverse stock photo

SRO examines industry's foray into virtual worlds

Judge looks at papers

Firm was alerted to $1 million in missed grants by government review

Laundering money

Bulletin alerts industry firms to risky activity involving legal profession