On February 26, 2021, the Securities and Exchange Commission’s Division of Examinations (formerly known as the Office of Compliance Inspections and Examinations) issued a Risk Alert providing observations regarding...... More »
On January 27, 2021, as the market trading day ended, GameStop (NY: GME), a brick and mortar retailer which might be expected to be reeling from Covid retailer concerns,...... More »
Greyline Partners, LLC (Greyline), a global leader in the governance, risk and compliance consulting space, announced the launch of GCM Advisory (GCM), an integrated new business vertical offering outsourced...... More »
On December 22, 2020, the U.S. Securities and Exchange Commission (“SEC”) announced that it finalized a new rule which changes the framework that governs investment advisers’ marketing and advertising,...... More »
On November 19, 2020, Peter Driscoll, Director of the Security and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) spoke about the importance of empowering chief compliance officers...... More »