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 a very excited tone, “Guess what! There is this thing called the World Wide Web, it’s so [...]
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, we eagerly await the start of summer camp, others plan day trips to the beach (raise your hand [...]
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, Founder and Managing Partner at Compliance Risk [...]
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 1 different from all other days of the year? After all, [...]
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 correlates to the point that [...]
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 abusing your fiduciary duty and use material, non-public information to trade [...]
