A growing number of financial advisors have been leaving their broker-dealer (BD) firms to start or join a registered investment advisor (RIA), an annual industry analysis has found. The study noted ...

Operators face the convergence of current, imminent and anticipated cybersecurity regulations. Operators must meet current obligations, prepare for near-term changes and anticipate future frameworks — ...

This article explores the US and EU compliance requirements to ensure patient safety for GMP ancillary materials in cell and ...

Compliance regulations are constantly changing, and organizations are struggling to keep up. The stakes are high. Failing to adhere to legal requirements can result in serious repercussions from ...

Diana Shaw of Wiley Rein LLP discusses a recent Department of Defense Office of Inspector General audit that identified ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

In today’s digital economy, compliance is no longer just a “check-the-box” exercise. For global enterprises navigating complex regulations and rising cyber risks, it can either drain on resources—or ...

An accountant is one of the few people in an organization who has a complete look at the finances of a business or investment venture, and as such, making sure that they are honest and up-front with ...

Jennifer Simonson is a business journalist with a decade of experience covering entrepreneurship and small business. Drawing on her background as a founder of multiple startups, she writes for Forbes ...