Compliance Reporter
From Wikipedia, the free encyclopedia
Compliance Reporter (CR) is a weekly news-breaking source that 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 publishes the Regulatory Alert Calendar, an exclusive special feature that gives a quick roundup of the most important regulatory proposals, notices and directives. Each weekly issue of CR includes news on compliance strategy, new regulations, enforcement actions and shareholder lawsuits. Its readers consist of compliance officers, department heads, in-house attorneys and outside counsel.
Compliance Reporter keeps tabs on securities laws, tracks competitors and helps prevent embarrassing compliance fiascoes. New rules and rule changes, and their implications, are evaluated along with supervisory tools. CR also provides a forum where industry experts and former regulators can be questioned.
Compliance Reporter is published by Institutional Investor News. Institutional Investor News is a division of Euromoney Institutional Investor PLC.
