BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance […]

Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance […]

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head […]

With the end of 2016 just days away, 2017 will be here before you know […]

Several times over the past decade FINRA has indicated they may be considering making it […]

Join Gresham and Compliance Risk Concepts (CRC) for a Data Integrity and Governance for Broker-Dealers […]

Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational […]

CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers CRC is […]

Navigating Your Next SEC Exam Experienced and skilled compliance officers are adept at managing almost […]

ENTER IF YOU DARE!   As Halloween is quickly creeping toward us – 2015 will […]