Regulatory Compliance Watch
Regulator Compliance Watch is your top resource for clear answers to your most challenging questions about IA, BD, CPO/CTA, and Private Fund compliance. Our service provides the latest news, unique insights, and effective best practices along with a full range of compliance tools at your fingertips. Our experts have direct connections with policymakers and knowledgeable peers, ensuring that subscribers receive early alerts about new regulations and straightforward advice to navigate complicated government rules.
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Articles
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1 week ago |
regcompliancewatch.com | Hugh Kennedy
Recent cyber incidents trigger trade associations to express concerns about the cyber risk management practices at federal regulatory agencies
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2 weeks ago |
regcompliancewatch.com | Hugh Kennedy
The pay of CCOs increased nearly 3% in 2025, according to a new survey from an executive search firm for financial services companies
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2 weeks ago |
regcompliancewatch.com | Hugh Kennedy
SEC tenure included stints in the divisions of Examnations, Trading and Markets, and Enforcement
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2 weeks ago |
regcompliancewatch.com | Hugh Kennedy
Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period
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2 weeks ago |
regcompliancewatch.com | Hugh Kennedy
Settlement stemmed from activity relating to a Texas-headquartered broker-dealer's incubation of three start-up companies
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