Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Compliance Risk Management Services
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Category: Compliance/ Risk Management

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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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FINRA Technology Upgrade Raises Data Standards for Firms

  Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and […]

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Exploring Opportunities for Compliance Lawyers and Consultants

What Help Do Compliance Clients Need? By Lori Tripoli Law Practice Management Expert Even as […]

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MassMutual Life Insurance Co. Makes Move For Improved Governance and Consistency Across Actuarial and Risk Functions

This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life […]

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Electronic Communications Surveillance Platforms: Checking The Box or Providing Value?

As a Former Chief Compliance Officer, I am frequently asked by my clients to help […]

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How Would You Respond To A Cyber Incident?

The world has changed in cyber space. It used to be a company could create […]

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Compliance Bulletin 01-15: A TALE OF TWO VERTICALS

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]

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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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Regulatory Mapping Support Model

Over the past several years, the massive and sweeping changes in the regulatory environment have […]

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