When I was a freshman at DeSales University my younger, teenaged sister called me one night to tell me, in […]

As the second quarter of 2017 draws to a close we’ve put graduations behind us and for some of us, […]

Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance Program in which Mitch Avnet, […]

COMPLIANCE BULLETIN: OUT WITH THE OLD...IN WITH THE NEW Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant Why is January […]

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent SEC announcement by OCIE […]

Whether you are a small-town doctor or a powerful hedge fund manager - the SEC doesn’t discriminate! If you are […]