Round table discussion of senior compliance risk management executives from leading financial services institutions on October 30, 2013. Expected attendees include other senior compliance risk [...]
Four Points Strives For Regulatory Standard Of Excellence By Partnering With Compliance Risk Concepts
Four Points Capital Partners Llc Announces Partnership With CRC, to create and shape its Compliance Culture in the early stages of its evolution.
CRC Service Spotlight: 3012 / 3130 Testing and Certification Annually, FINRA member broker-dealers are required to test and verify the adequacy of their supervisory program, and the CEO is [...]
As members of the Financial Services Industry, we find ourselves in the position of having an inordinate amount of confidential information at our disposal...