As we head further into 2025, the landscape of SEC exams and enforcement is poised for significant shifts. How will the SEC ...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...

At the heart of this innovation is Employee360™, a first-of-its-kind compliance dashboard that provides Chief Compliance Officers (CCOs) with a single, comprehensive view of employee activity, risk, ...

Welcome to this Edition of Everything Compliance, Shout Outs and Rants. In this episode, we have the full gang of Matt Kelly, Jonathan Marks, ...