Keeping up with all of the changing rules and regulations in the compliance industry can be a full-time job. We help you by sifting through what matters and giving you the timely guidance, postings and news you need.
The SEC is working on rule proposals focused on special purpose acquisition companies (SPACs) that will require greater disclosures and transparency for investors. Amy Lynch, FrontLine’s Founder and President, explains that the SEC is honing in on areas where retail investors may be disadvantaged in these transactions versus institutional investors. Ms. Lynch describes areas of…
Retail investors relying on “social trading” platforms are looking for ways to level the playing field with hedge funds and other sophisticated money managers. While social trading seeks to benefit from the transparency of sharing ideas and digital engagement practices (DEP) via various platforms, for regulators it hinges on the question of what constitutes a…
A push by Robinhood to attract college students to its platform by offering cash giveaways is likely to create greater scrutiny by regulators. The SEC is already looking into the regulatory implications of the “gamification” impact with online trading platforms. Now with Robinhood’s new marketing strategy targeting traditionally less sophisticated and lower income college students,…
At a time when compliance staffs are updating programs that may have become stagnant or even floundered during the pandemic, they are being pressed to find enough qualified internal help. The nation’s labor shortfall has made both hiring and retaining employees in compliance a difficult chore, just as a re-energized SEC is formulating an aggressive…
In the movie the Matrix, Neo wasn’t sure if he was the fabled “One” despite what he heard from Morpheus and a trip to see the Oracle. But, Neo still took the steps to discover how to be the “One” and fulfill his potential. Compliance has its own “Matrix” of challenges – and a compliance…