Forward look: Top regulatory trends for 2015 in energy Stay ahead of the curve in 2015—explore energy regulatory trends, challenges, and opportunities
Closer Look series
Our Closer Look series provides quick insights on deep dive issues. Learn what’s happening in the financial services industry in these short reads.
Exam priorities for securities firms in 2015
The SEC and FINRA recently announced their examination priorities for 2015. Although each regulatory body has its own distinct focus areas, there are seven common priorities that securities firms may want to put at the top of their to-do lists.
Insurance regulation without boundaries
Insurance regulation without boundaries examines the effect of international influence on domestic regulatory changes.
How effective is your HIX compliance program?
Health plans face a significant challenge-establish a rigorous health insurance exchange regulatory compliance program or risk potential financial losses.
Navigating regulatory risk
A Regulatory Liaison Office can be an effective way for an organization to manage regulatory concerns and speak with a single voice to the regulators.
Risk & Compliance Journal from The Wall Street Journal
Get news and commentary on today's important topics, including: governance, risk, and compliance, as well as analysis of the significance of laws and regulations, the risks inherent in global expansion, and the protective moves taken by companies.
Forward look: Top regulatory trends for 2015 in securities
The securities regulatory trends outlined in this report can serve as a starting point for dialogue surrounding the challenges and opportunities in 2015.
FINRA and CARDS
The FINRA CARDS proposal could go into effect in 2015. Learn more about the requirements, as well as the hidden opportunities.
Reg Pulse blog
Reg Pulse promotes the sharing of insights, experiences and perspectives on the latest regulatory developments and trends.
2014 Energy Compliance Survey Report
Explore critical insights about what energy companies and regulators are focusing on, and what the top compliance priorities should be.
Enhanced prudential standards
This report can serve as a guidepost to understand how corporate compliance works best in your company.
The final Volcker Rule
Discussed in this paper are key operational considerations for banking organizations’ compliance with the Volcker Rule requirements.
The fourth ingredient in a world-class ethics and compliance program
Companies with world-class ethics and compliance programs make sure they have a world-class CCO leading the charge and protecting their reputation.