Category: Compliance/ Risk Management

Lowering Your Cost Of Compliance [video]

With regulatory aggressiveness at historically high levels. Financial institutions must rethink how they thread the compliance needle and reshape the […]

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ADV Regulatory Changes For Investment Advisers

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers […]

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Compliance Risk Concepts and NexTier Consulting Solutions Team Up To Serve Investment Management Community

NEW YORK (NEW YORK) | CHICAGO (ILLINOIS) Compliance Risk Concepts ("CRC"), a top-tier compliance consulting services firm, and NexTier Consulting […]

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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 […]

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PaCE: Policy and Controls Environment

CRC furnishes sensible regulatory risk management services and support that achieve a comfortable balance between a client’s commercial interests and […]

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Part 3 of 3: It's 2017, What Are The SEC’s Priorities?

Assessing Market-Wide Risks Spotlight On Talent: Portia Amato, Compliance Officer  This is the third installment of our 3-part series, It's […]

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Compliance Pro-Tip: Lowering Your Research Costs

Looking for an easy way to lower the operating costs of your Research Department? Consider outsourcing your Supervisory Analyst function. […]

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Part 2 of 3: It's 2017, What Are The SEC’s Priorities?

Risks Specific To Senior Investors and Retirement Investments Spotlight On Talent: Portia Amato, Compliance Officer  Now that we have examined […]

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Part 1 of 3: It's 2017, What Are The SEC’s Priorities?

Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By now, every CCO and their […]

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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 […]

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