Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and ...

The US Securities and Exchange Commission’s (SEC’s) Division of Examinations released its annual report of examination priorities on October 21, 2024 (the Exam Priorities). The annual Exam Priorities ...

Originally published in The Review of Securities & Commodities Regulation - September 12, 2012. Compliance professionals spend much of their time on regulatory compliance examinations. They are either ...

It may seem counterintuitive, but one of the big stories in bank regulation in 2010 will be the return of increasingly severe compliance examination. One would think that with the flames of the ...

Chief compliance officers for investment advisory firms will have a chance to gain insight on the Securities and Exchange Commission's examination priorities for the coming year at a seminar on ...