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Compliance Reporter

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  • Abstract
  • Table of Contents

Compliance Reporter (CR) is the leading securities industry source for timely news on compliance and regulation. One of the world's most influential newsletters, CR breaks financial news on compliance strategy, new regulations, enforcement actions and shareholder lawsuits

Compliance Reporter is the only news-breaking source that exclusively covers compliance initiatives at broker/dealers and investment advisers, as well as regulations and enforcement actions from entities such as the National Association of Securities Dealers, the Securities and Exchange Commission, the U.S. Court of Appeals and state regulatory agencies. 
Compliance Reporter informs its readers of enforcement actions that are levied against their competitors. Knowing what the firm down the street was fined for may help you change your strategy and avoid a similar penalty. It also keeps you up on other firms' strategies, giving you tips on what your peers are doing to stay on the cutting edge. 

A successful compliance professional is one who is proactive, and reading Compliance Reporter is a must to find out about rules and regulations while they're still being considered by the regulatory agencies. 

Now with expanded editorial coverage:

Regulatory Alert - A chart that illustrates all the important regulatory proposals, notices and directives that have been issued by the national and state regulators in the U.S.

Brokerage Expanding existing Broker/Dealer coverage with added firm-related news, including how compliance officers are dealing with different aspects of the institutional business and trading. Current coverage of regulators and best practices will continue to be part of this section.

Investment Management provides coverage of hedge fund compliance and legal issues. This session includes news and analysis on legal aspects associated with investment products and investing such as disclosures, fee requirements, new and innovative structures, fair valuations and tax implications.

Corporate Finance incorporate coverage of primary market (33 Act) regulations, deals and deal structures, corporate governance and some corporate accounting.

Competitive Intelligence What firms are grappling with most and why.

Analysis/commentary on the impact of regulations and laws

Guest Column This is a guest column by attorneys and others to flesh out hot or complicated topics with expert commentary.

Target Market: Compliance Officers or Risk Managers in broker/dealers, investment banks and asset managers, as well as outside lawyers to these firms.


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