Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Author: CRC

Compliance Breakfast Forum: Conflicts of Interest

Compliance Breakfast Forum: Conflicts of Interest Join Compliance Science (CSI) and Compliance Risk Concepts (CRC) […]

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Regulatory Compliance Series - Data Integrity and Governance [whitepaper]

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

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financial-and-risk-summit
Thomson Reuters Financial and Risk Summit

  Thomson Reuters Annual Financial and Risk Summit in New York Date: May 4, 2016 […]

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What to Do—and Not Do—at Your Next SEC Exam

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

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webinar-feb25
Webinar: Navigating Your Next SEC Exam

Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The […]

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GRC Briefing For The Financial Services Industry

FSO Knowledge Xchange is hosting its exclusive Governance, Risk Management, and Compliance Breakfast Briefing on February 25th, […]

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IT Employee Trades On Confidential Goldman Emails

The SEC alleges that an employee, who worked as an associate in Goldman’s compliance department, […]

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Assessing Outsourced CCO Risk Before the SEC Completes the Assessment for You

The OCIE staff of the SEC released a Risk Alert relating to the Outsourcing of […]

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Compliance Summit 2015

  Date: Nov 16-17, 2015  Sponsored by: Compliance Science This year’s conference is shaping up to be […]

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Goldman, Twitter & Square Entwinement

Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week […]

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