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Compliance Watch

Jul 16, 2019


DOL Fiduciary Rule Hangs in Balance as Labor Secretary Acosta Resigns

By Melanie Waddell

Acosta and President Donald Trump appeared at the White House Friday morning to announce Acosta's resignation. Read More


House Passes Bill Expanding Whistleblower Protections

By Melanie Waddell

Meanwhile, the House Financial Services Committee passed bills to help consumers with blemished credit reports. Read More


FINRA Clarifies What 'Extraordinary Cooperation' Really Means

By Melanie Waddell

New guidance tells firms how they can reduce penalties by going beyond the basic requirements when being investigated. Read More


SEC Commissioner's Speech Rankles ESG Industry

By Ginger Szala

Morningstar's Jon Hale called Hester Peirce's speech "over the top," but some ESG backers said she made some good points. Read More


Florida Woman Charged in Nationwide Cryptocurrency Scheme

By Jeff Berman

The “innocent appearance” of the fraudster “belies her true nature,” William Galvin says. Read More


The Long, Uncertain Road to Implement Reg BI

By Bernice Napach

A lot could happen before the best-interest standard is due to take effect on June 30, 2020. Read More


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