Despite rising regulatory hurdles nationwide, optimism still exists for intoxicating hemp beverages, as evidenced by smaller investment funds’ desire to back brands in the nascent category.
Nearly 700,000 workers have lost jobs this year as companies respond to economic uncertainty, but employment law experts warn that poorly executed layoffs create legal liability and ...
Though multiple “detect and avoid” technologies exist, they are not used widely enough, and humans remain an obstacle to implementation through lack of regulation and noncooperation. As ...
"The Dominance of Regulatory Oversight in Chinese Investment Trusts"Lusina Ho and Hui JingAsia-Pacific Trusts Law, Volume 3, Boundaries in Context, Part II, Chapter 10Hart PublishingPublished ...
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Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges on FINRA registered broker-dealers. Many of these ...
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of various FINRA, SEC, NFA, and FinCEN publications to assist our ...
Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE Information Governance Financial Regulatory Compliance Roundtable. Date: Wednesday, January 25, ...
Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory On January 1, 153 B.C., Rome was the site of the first recorded new ...
Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and ...
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...