Experts surprised as SEC plans fresh derivatives rule

Mutual fund regulation is back on the agency’s agenda

SEC names Axa Equitable pro for NY exams role

Maurya Keating to join the regional exam program later this month

Bain Capital GC Sean Doherty to retire at year end

Ropes & Gray’s Christopher Green to assume GC role in September

Bain Capital GC Sean Doherty to retire at year end

Ropes & Gray’s Christopher Green to assume GC role in September

Halcyon hires compliance officer from Aviva Life

Alex Arnold joins in London

Elvinger Hoss opens New York office

Ex-Allen & Overy pro to head new office



The SEC turns up the heat on gatekeeper responsibilities

More service providers seek additional protection in their terms in light of extra scrutiny


CCO liability: Eight steps for reducing your exposure

How CCOs can structure a successful compliance programme

Up close and personal: How hedge funds monitor employee trading

Major firms tweak policies to keep up with technology and investment trends