Find upcoming presentations, industry seminars, conference appearances, CPE events, and symposiums near you!
The ruling on 340B reimbursement rate in the 2022 OPPS Rule may impact providers participating in APMs.
Brush up on the SEC’s final rule modernizing broker-dealer electronic record-keeping requirements.
FORVIS offers four core tenets of data lineage and control measures through the data lifecycle. These core tenets can be executed with the assistance of technologies such as Wdata by Workiva. Read on here.
The SEC wants to expand central clearing for U.S. Treasury securities, which could significantly impact settlement for hedge funds and principal trading firms.
SEC Rule 613, the Consolidated Audit Trail (CAT), requires U.S. broker-dealers to report their equity and option order life cycle information to a central repository. Read on for more details.
Securities and Exchange Commission (SEC) Rule 17a-4 (the Rule) specifies the retention period that certain records must be preserved, along with the acceptable format or medium for retaining these records.
This webinar will help banks prepare for the next exam and provide an overview of recent orders and regulator guidance.
Although each prudential bank regulator views the $10 billion asset threshold differently from a supervisory perspective, institutions are tasked with understanding their new regulatory scope.
Responding to regulator findings is a daunting process for even the most mature financial institutions and, in today's ever-changing world of financial regulation, how your financial institution responds to a regulator's inquiry, will be vital to…
The financial services and regulatory industries have been dynamically adapting to several competing chaotic drivers. Those companies that began adapting with the global pandemic in early 2020 have continued throughout all of 2021 and show no signs…