On January 9th, the SEC published it’s National Examination Priorities for 2014. On the top of their list – Fraud Detection and Prevention, Corporate Governance, Conflicts of Interest, Enterprise Risk Management, Technology and issues specific to Dual Registrants. Continue reading
The recent action taken by the SEC against three Investment Advisers should serve as a “wake up call” for the IA sector. IAs should utilize the recent sanctions as a “road map” / “checklist” for their own internal controls. Continue reading
Four Points Capital Partners Llc Announces Partnership With CRC, to create and shape its Compliance Culture in the early stages of its evolution. Continue reading
CRC Service Spotlight: 3012 / 3130 Testing and Certification Annually, FINRA member broker-dealers are required to test and verify the adequacy of their supervisory program, and the CEO is required to certify their awareness of the program’s state. But can … Continue reading
Corporate Governance and Enterprise Risk Management are high on the list. Read More.
The ability for Compliance Departments to effectively monitor, measure program effectiveness and provide impactful analysis / reporting is more critical than ever. Being tasked with these requirements has proven to be an extremely burdensome undertaking for most organizations. This is … Continue reading
Given the depth and breadth of regulatory change in our industry, organizations are challenged more than ever in terms of how to process, manage and execute on applicable requirements. This need has created an opportunity for technology providers to develop … Continue reading