Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements
Adapting to the pandemic has revealed new efficiencies
From e-signatures to artificial intelligence, regulators are trying to get ahead
Investment Executive Regulators’ Report Card 2019
Compliance professionals more satisfied with regulators this year
Compliance officers still hoping for national regulator, SRO merger
Firm size affects the regulatory experience, compliance officers at small firms lament
Report Card respondents could pick from a predetermined list of threats to revenues, but a portion named "the markets" instead
Ratings up across the board for the fund dealer regulator