Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Category: Broker Dealer

brown-fiduciary
WTF? Why are You Such a Fiduciary?

BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance […]

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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 […]

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Bulletin: FINRA 2017 Regulatory and Examination Priorities Letter

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head […]

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Broker Dealers, Don’t Be A Turkey. Complete Your Year-End Requirements!

With the end of 2016 just days away, 2017 will be here before you know […]

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timetoknow
E&O: Are You In The Know?

Several times over the past decade FINRA has indicated they may be considering making it […]

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Data Integrity and Governance Roundtable

Join Gresham and Compliance Risk Concepts (CRC) for a Data Integrity and Governance for Broker-Dealers […]

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Regulatory Compliance Series - Data Integrity and Governance [whitepaper]

Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational […]

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See Ya Lata – Bad Data!

CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers CRC is […]

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What to Do—and Not Do—at Your Next SEC Exam

Navigating Your Next SEC Exam Experienced and skilled compliance officers are adept at managing almost […]

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frightened-guy
Annual Year End Compliance Requirements for Broker Dealers - Tricks or Treats?

ENTER IF YOU DARE!   As Halloween is quickly creeping toward us – 2015 will […]

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