Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Capital Markets & Investment Banking

Compliance Bulletin 01-14

The SEC’s Compliance Program Initiative and 2014 Examination Priorities should serve as a “wake up call”.

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SUMMARY :: Dodd-Frank Trade Reconstruction Roundtable

Summary:  Dodd-Frank Trade Reconstruction Expert Panel INTRODUCTION On June 5th, 2014, Bloomberg Vault and Compliance […]

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