Compliance

Several firms' ability to underwrite municipal bond issues in Texas is under review.

The IRS has entered into a closing agreement with the City of Alpharetta following its VCAP request stemming from the sale of a bond-financed conference center.

Market participants are wary that regulators may muddle ESG risk disclosure guidance with guidance regarding labeled bonds.

The 70-page report homed in on some muni-specific risks uncovered during examinations.

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

The organization sought to increase representation of underrepresented minorities and women on its municipal market advisory groups.

Groups believe that the draft compliance resources contain some useful information, though they could be construed as creating new compliance requirements.

Todd Cipperman, founding principal of Cipperman Compliance Services, talks with Chip Barnett about compliance and disclosure and regulation by the federal government in 2022. (42 minutes)

Yan Zhao, President of NYDIG as she exploreshow Bitcoin is experiencing wider adoption in the traditional finance world, and why that is.

Some firms are voluntarily self-reporting potential supervisory and suitability rule violations.