Jeff Burrows

The Securities and Exchange Commission (SEC) recently adopted Rule 192, spotlighting conflicts of interest in assembling and selling asset-backed securities (ABS). Here are 5 key takeaways for industry players to fully grasp what the SEC deems over the compliance line

Federal regulators are turning up the heat on big banks, proposing an array of tougher capital, debt, and operational standards.

Enhanced regulation of private funds is fueling competition for compliance professionals. In the latest edition of our webcast, MBK Talks, marketing director Michael Oliver interviewed MBK Search’s chief executive officer Spencer Knibbe, to find out how firms should prepare for the new regime.

President Biden issued a sweeping executive order establishing a national framework for the development and use of AI technology in the United States. For chief risk officers and chief compliance officers in both the public and private sectors, there is much to consider. Here are ten essential takeaways to guide your thinking.