Feb 2 2012 | 6:15am ET
On January 31, the SEC held an all-day conference to deliver a clear message: CEOs and senior management will be held responsible for creating, managing, and maintaining an effective control environment. Deborah Prutzman, CEO of The Regulatory Fundamentals Group, says that it is critical for asset managers to honestly assess the risks facing their firms and evaluate whether their business processes are sufficiently robust to protect investors, employees and their firms.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…