You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent SEC announcement by OCIE correlates to the point that whistleblowers have an incentive to earn millions of dollars from your ineffective compliance program. The … Continue reading

David J. Amster hired as Principal and Head of its Fund and Dealer Advisory practice

Building on its team of compliance advisory professionals, Compliance Risk Concepts, LLC (CRC) has hired of David J. Amster as Principal and Head of its Fund and Dealer Advisory practice. “David’s professionalism and breadth of buy-side and sell-side product knowledge … Continue reading

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