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Compliance Newsflashes

ZANTAZ Acquires Steelpoint Technologies; SIA Holds Mutual Fund Reform Updates Conference in October; WatchIT Releases New Program Aimed at Promoting Ethics and Compliance; RedMonk Report Recommends Service Approach to Compliance Issues

SIA Holds Mutual Fund Reform Updates Conference in October

The SIA is holding a Mutual Fund Reform Updates conference on Oct. 19 in New York. It will focus on the evolving mutual fund regulatory framework, and the business operations, sales and corporate governance challenges they pose. Topics broached will cover new regulatory framework, disclosure and transparency, mutual fund distribution and point of sale disclosure. Speakers include the Honorable Roel C. Campos, Commissioner, U.S. Securities and Exchange Commission, and Mary L. Schapiro, Vice Chairman, NASD and President, Regulatory Policy & Oversight, NASD Regulation.

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Stressed Out by Compliance, Reputational Damage & Fines?
Stressed Out by Compliance, Reputational Damage & Fines?
Financial services executives are living in a "regulatory pressure cooker." Here's how executives are preparing for the new compliance requirements.