Compliance Risk Concepts: Senior Compliance Consultants & Executives.
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Category: Conferences and Events

Best Practices for Managing Conflicts of Interest [Webinar]

  If your firm is struggling with the management and analysis of conflicts of interest, […]

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Webinar: Establishing A Regulatory-Proof Broker/Dealer Compliance Program

Thank you to all who attended the June 20th webinar, Establishing A Regulatory-Proof Broker/Dealer Compliance […]

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Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers

  Mitch Avnet to present at upcoming IAA 2017 webinar series, Risk, Mitigation and Insurance […]

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Information Governance Financial Regulatory Compliance Roundtable

Join the Hewlett Packard Enterprise solution team and Compliance Risk Concepts (CRC) at the HPE […]

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Data Integrity and Governance Roundtable

Join Gresham and Compliance Risk Concepts (CRC) for a Data Integrity and Governance for Broker-Dealers […]

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Compliance Breakfast Forum: Conflicts of Interest

Compliance Breakfast Forum: Conflicts of Interest Join Compliance Science (CSI) and Compliance Risk Concepts (CRC) […]

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Thomson Reuters Financial and Risk Summit

  Thomson Reuters Annual Financial and Risk Summit in New York Date: May 4, 2016 […]

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Webinar: Navigating Your Next SEC Exam

Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The […]

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GRC Briefing For The Financial Services Industry

FSO Knowledge Xchange is hosting its exclusive Governance, Risk Management, and Compliance Breakfast Briefing on February 25th, […]

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Compliance Summit 2015

  Date: Nov 16-17, 2015  Sponsored by: Compliance Science This year’s conference is shaping up to be […]

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