Legal & Compliance – European Compliance Association

IRS Launches New Crackdown on Wealthy Tax Cheats

What You Need to Know With Inflation Reduction Act funds, the IRS is shifting its attention to the wealthy,

In an open meeting on Wednesday, the Securities and Exchange Commission plans to consider whether to adopt a proposed

What You Need to Know The suit alleges Wells Fargo made legal and fiduciary violations despite big settlements. Wells

What You Need to Know The suit alleges Wells Fargo made legal and fiduciary violations despite big settlements. Wells

The Financial Industry Regulatory Authority (FINRA) has alerted member firms to a recent FBI flash warning that all exploited

What You Need to Know An ex-Wells Fargo and LPL rep was sentenced to 42 months in prison and

The Securities and Exchange Commission has barred an investment advisor representative who was doing business despite having her registration

Pelosi, McConnell Offer New Stimulus Plans as Rebound Slows Republican plan includes $333 billion in spending on business subsidies, including

Delaware Floats ‘Best Interest’ Rule for Annuity Sales Like rules adopted by Arizona, Iowa and Rhode Island, Delaware’s proposal would

CFP Board Taps Ex-SEC Official for New Enforcement Role Thomas Sporkin will soon lead attorneys and legal staff in modernizing