Compliance Intelligence is an exclusive information service providing practical, actionable information for investment, securities and bank compliance officers and their advisers. It goes behind the current regulatory announcements to provide implementable steps, direct reaction from compliance officers, industry comparison and benchmarking--it is a how-to guide, rather than a regulatory watchlist. You can access it via mobile or desktop, with email alerts and an easily navigable website, and a bi-weekly print issue: Compliance Reporter.
Compliance Intelligence provides news—as well as practical insights and reactions by experts—on financial regulatory issues that are at the core of the compliance officer’s job. It delivers alerts on current rulemaking (from the idea to proposal to final rules), guidance on how those rules impact broker/dealers, investment managers and banks, and how C/Os should respond. Stories have checklists, practical tips and ‘bottom line’ takeaways—information you can use immediately. Online users can customize their access via ‘My News’ by firm type or regulatory agency to display the information most relevant to them.
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Compliance Intelligence brings you the latest compliance challenges, with expert commentary and features by regulators, lawyers and other industry experts. You don’t get just the key issues, you get invaluable insights on how to proceed.
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Rule Docket– Compliance Intelligence presents an at-a-glance listing of key upcoming regulatory developments. The database is designed so that you can see immediately what you need to do, and when, over the coming weeks -- whether that's get your voice heard about a proposal or get your firm ready to comply.
Regulator Guidance Hub -- Compliance Intelligence presents a central, online hub where you can access recent no-action letters and other guidance from the regulators impacting brokerages and investment management shops. Make sure you have the latest advice and insight.