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Lowering Your Cost Of Compliance [video]
With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the compliance needle and reshape the endless regulatory noise into coherent action [...]
Compliance Pro-Tip: Lowering Your Research Costs
Looking for an easy way to lower the operating costs of your Research Department? Consider outsourcing your Supervisory Analyst function. Chances are, you can save quite a bit. And with CRC, you [...]
Bulletin: FINRA 2017 Regulatory and Examination Priorities Letter
Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory On January 1, 153 B.C., Rome was the site of the first recorded new [...]
Who You Callin’ A Fiduciary???
COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory The United States Department of Labor (“DOL”) recently finalized rules [...]
