The Securities and Exchange Commission (SEC) has been making headlines with a record-breaking year for enforcement in 2022. The SEC reported that it filed…
The January Regulatory Compliance Briefing includes a recap of December's five finalized changes by the CFPB and FRB and dozens of other compliance alerts…
The ability to manage risk and compliance remains top of mind for financial services organizations, according to the annual Regulatory & Risk Management Indicator survey conducted…
Best of the Quantivate Blog Revisit our most-read posts of the year in this roundup of risk and compliance insights and best practices. As…
While there were no compliance alerts for November, there are two changes going into effect on January 1, 2023, and a number of additional…