The Conflict Conundrum Conflicts of interest are not new to financial services. Investment advisers, broker-dealers, […]
A plain-language guide to significant federal crypto regulatory action. WHO: Who issued this, and who […]
Annual compliance training remains one of the most visible and frequently evaluated components of a […]
WHO CFTC Chairman Michael Selig, speaking at the March 9th FIA Global Cleared Markets Conference […]
In the inaugural episode of Built To Scale with CRC-Oyster, host Michael Durette, Managing Principal […]
Prediction markets are often described as “betting on events,” but structurally they look more like […]
Artificial intelligence has entered the compliance landscape with unusual speed. AI-driven tools now appear across […]
Cybersecurity is often framed as a technological challenge. In practice, for investment advisers, broker-dealers, and […]
Strengthening Compliance Through Independent, Risk-Based Testing Regulatory expectations for investment advisers and broker-dealers continue to […]
Regulatory examinations continue to identify recurring compliance deficiencies across SEC-registered investment advisers and broker-dealers. While […]
On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
Q1 Annual Testing Kickoff The Moment That Matters Q1 is not just the start of […]
Why the First 90 Days Can Determine the Next 10 Years Executive Summary The decision […]
The SEC issued two closely related statements that, when read together, offer one of the […]
Foundations, Regulatory Expectations, and 2026 Focus Areas for RIAs and Broker-Dealers Compliance testing is often […]
