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Sixteen Compliance Trends to Watch in the New Year

Financial advisors face a slew of new regulatory issues in 2018, and when it comes to compliance, they are “better off changing the oil regularly than waiting for the engine to blow up.”  That vivid warning comes from Todd Cipperman, founder of Cipperman Compliance Services, a consulting firm specializing in regulatory compliance.  To find out what to expect next year according to Cipperman, as well as Bao ...

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U.S. SEC’s Piwowar Urges Companies to Pursue Mandatory Arbitration Clauses

SEC Official Suggests IPO Paperwork Could Include Arbitration Clauses Michael Piwowar, a Republican member of the Securities and Exchange Commission, has suggested that companies be allowed to include mandatory arbitration clauses in paperwork for initial public offerings. To read the full article in Reuters, click: U.S. SEC’s Piwowar Urges Companies to Pursue Mandatory Arbitration Clauses. ...

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