Our Compliance department maintains constant contact with the regulatory community, staying abreast of the latest developments. For the most recent regulatory developments, view our white papers and commentary on SEC 28e regulations on our Regulatory Updates page.

As a CAPIS client, you will also have full access to our library of legal documents. We have dedicated a Secure Client Services section of our Web site to compliance documentation for your convenience. As an additional resource, our Compliance department staff is readily available should you require assistance or have a special request.