What: The SEC announced that it settled charges against two investment advisers for making false […]
If your firm is struggling with the management and analysis of conflicts of interest, […]
Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance […]
Mitch Avnet to present at upcoming IAA 2017 webinar series, Risk, Mitigation and Insurance […]
Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE […]
Join Gresham and Compliance Risk Concepts (CRC) for a Data Integrity and Governance for Broker-Dealers […]
Compliance Breakfast Forum: Conflicts of Interest Join Compliance Science (CSI) and Compliance Risk Concepts (CRC) […]
Thomson Reuters Annual Financial and Risk Summit in New York Date: May 4, 2016 […]
Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The […]
FSO Knowledge Xchange is hosting its exclusive Governance, Risk Management, and Compliance Breakfast Briefing on February 25th, […]
Date: Nov 16-17, 2015 Sponsored by: Compliance Science This year’s conference is shaping up to be […]