You Know It’s A Really Tough Regulatory Environment When . . .

In this letter sent last June, the writer commiserated:

” . . . the financial markets are more volatile and challenging than ever before. Couple all of that with that the burden of new rules and regulations, and it is apparent that it’s getting harder and harder to simply do our jobs.”

With the Securities and Exchange Commission pumping out new regulations with adopting releases numbering in the hundreds of pages and many tens of thousands of words, who hasn’t shared this sentiment? So, who wrote the letter? One might guess that its author was a chief compliance officer at a broker-dealer, the general counsel at a Fortune 500 company, or perhaps the chief financial officer at a financial institution.

Please see full article below for more information.

LOADING PDF: If there are any problems, click here to download the file.

Written by:

Published In:

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Allen Matkins Leck Gamble Mallory & Natsis LLP | Attorney Advertising

Don't miss a thing! Build a custom news brief:

Read fresh new writing on compliance, cybersecurity, Dodd-Frank, whistleblowers, social media, hiring & firing, patent reform, the NLRB, Obamacare, the SEC…

…or whatever matters the most to you. Follow authors, firms, and topics on JD Supra.

Create your news brief now - it's free and easy »

All the intelligence you need, in one easy email:

Great! Your first step to building an email digest of JD Supra authors and topics. Log in with LinkedIn so we can start sending your digest...

Sign up for your custom alerts now, using LinkedIn ›

* With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.