Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and […]

What Help Do Compliance Clients Need? By Lori Tripoli Law Practice Management Expert Even as […]

This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life […]

As a Former Chief Compliance Officer, I am frequently asked by my clients to help […]

The world has changed in cyber space. It used to be a company could create […]

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]

As we all contemplate our priorities for 2015, we can be rest assured that Cybersecurity will continue to be a focus area for FINRA, the SEC and other regulators in the coming year. Based on our understanding and utilization of the NIST CICS framework, we can offer your organization a best-in-class, cost effective assessment, training, and technological suite of solutions that can be tailored to meet your company’s specific needs, requirements and budgetary constraints.

In the wake of the many highly publicized data-breaches in 2014, our clients have reached out to us for advice and guidance in an effort to increase the overall awareness of Cybersecurity risk within their respective organizations. 

Over the past several years, the massive and sweeping changes in the regulatory environment have […]

SAVE THE DATE : October 22, 2014 Think Tank 2.0 Meet with your peers to discuss challenges and practical solutions around the Dodd Frank Trade Reconstruction Regulation.