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Compliance
Trending topics and news from the Compliance category
Back to news homeWhen it comes to sanctions, PE firms must proceed with great caution
Snežana Gebauer Contributor Snežana Gebauer, a partner with StoneTurn, has 20 years of experience in managing complex international investigations for major law firms, Fortune 500 corporations, government agencies and sovereign […]
How Box escaped the SaaS growth trap
Enterprise productivity company Box reported results earlier this week for the first quarter of its fiscal 2023, the three-month period ending April 30. Box managed to beat revenue expectations, though it […]
Remote work platform Multiplier raises $60M Series B at $400M valuation
Multiplier, a startup that enables companies to hire and pay remote workers while complying with local laws, announced today that it has raised a $60 million Series B at a […]
OTC Markets Group Answers Frequently Asked 2-11 Rule Change Questions
On September 28, 2021, the SEC’s amendments to Rule 15c2-11 (“Rule 211”) will alter the regulatory landscape and allow us to bring greater organization to the OTC market. The latest amendments […]
For startups, trustworthy security means going above and beyond compliance standards
Oren Yunger Contributor Oren Yunger is an investor at GGV Capital, where he leads the cybersecurity vertical and drives investments in enterprise IT, data infrastructure, and developer tools. He was […]
Blue Sky Compliance – Fixed Income
News surrounding the financial markets is often equity-focused, as the volatility and name recognition of stocks make for more interesting headlines. However, today’s market professionals understand that fixed income markets […]
Transforming the OTC Markets
In September 2020, the SEC amended Rule 15c2-11 under the Securities and Exchange Act, modernizing the legal framework and regulatory status of the over-the-counter (OTC) equity markets. Rule 15c2-11 serves […]
Blue Sky Compliance Data – Exemption Types & Data Transparency
Data Transparency is not simply about making more data available; it is about helping users, both business and technical, better understand a data set and use that information to improve […]