Author: lcolpas

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Turning Up The Heat on Social Media Regulation

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

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Summer Fun and Q3 Federal Filings For Investment Advisers

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

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Webinar: Establishing A Regulatory-Proof Broker/Dealer Compliance Program

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

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Out With The Old...In With The New

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

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You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?

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

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What You Need To Know About Material Non-Public Information (MNPI)

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

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