Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Broker Dealer

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Goldman, Twitter & Square Entwinement

Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week […]

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Are Broker Dealers Prepared To Respond To Customer Withdrawal of Funds ?

9 of 24 BDs Reviewed NOT PREPARED to Respond to Customer Withdrawal of Funds Recently […]

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Spotlight On Talent: Kevin Wheeler On NY's Virtual Currency Regulation

The State of New York recently passed legislation requiring those transacting in virtual currency to […]

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Cybersecurity: High Profile Exam Priority for FINRA and the SEC

As we all contemplate our priorities for 2015, we can be rest assured that Cybersecurity will continue to be a focus area for FINRA, the SEC and other regulators in the coming year. Based on our understanding and utilization of the NIST CICS framework, we can offer your organization a best-in-class, cost effective assessment, training, and technological suite of solutions that can be tailored to meet your company’s specific needs, requirements and budgetary constraints.

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Just in Time For The Holidays – The Gift of Cybersecurity Awareness

In the wake of the many highly publicized data-breaches in 2014, our clients have reached out to us for advice and guidance in an effort to increase the overall awareness of Cybersecurity risk within their respective organizations. 

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Faulty Broker Dealer Gatekeeping Leads To SEC Enforcement Action

The Securities and Exchange Commission (“SEC”) recently announced an enforcement action against two broker-dealers that […]

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