Compliance Culture & Ethics Katie Daniels: Prediction markets make new outlet for old compliance risks
Conferences and events What needs the biggest evolution – communications or trade surveillance? Premium
Enforcement SEC resolves litigation against muni adviser, city of Rochester, NY Quick Read Premium December 31, 2024 The SEC alleged that bond offering documents misled investors.
Enforcement SEC charges 12 municipal advisers with recordkeeping violations Quick Read Premium September 19, 2024 The charges relate to off-channel communications and related supervisory failures.