(Live Webinar July 5, 2016) Join our next quarterly webinar and keep up to date with the latest research into the major risk, finance, and regulatory issues impacting financial services professionals around the world. Select the regional session of your choice: one session will focus on the regulations affecting EMEA and APAC, while another session which delve deeper into those regulations important for the Americas and EMEA.
(Published May - June 2016) Enforcement actions can be great learning tools. No doubt each of us has learned some hard lessons first-hand; it’s much preferable to learn them second-hand if we can, especially the kinds we see so regularly in our profession. Brian Rubin, Kate Dumeer and Amy Xu of Sutherland have put together another excellent discussion of some recent enforcements against CCOs. Not a lot of fun to experience, so we can take some good second-hand lessons! At least here, it’s entertaining too! Who knew Harry Potter is a compliance geek?