The OCIE staff of the SEC released a Risk Alert relating to the Outsourcing of […]
Date: Nov 16-17, 2015 Sponsored by: Compliance Science This year’s conference is shaping up to be […]
Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week […]
9 of 24 BDs Reviewed NOT PREPARED to Respond to Customer Withdrawal of Funds Recently […]
Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former […]
RegEd 2015 Compliance Alliance Client Conference Date: May 4-6, 2015 Location: Raleigh Marriott City […]
Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors […]
Amid a tough climate of regulatory enforcement and an explosion of new rules after the […]
The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that […]
Bloomberg Vault Webinar: Trade Reconstruction for Compliance Officers Thursday August 21 1:00pm-2:00pm EDT Presented By: Harald Collet Global Head of Bloomberg Vault and Moderated By: Mitch Avnet Managing Partner, Compliance Risk Concepts
