The Conflict Conundrum Conflicts of interest are not new to financial services. Investment advisers, broker-dealers, […]
Strengthening Compliance Through Independent, Risk-Based Testing Regulatory expectations for investment advisers and broker-dealers continue to […]
Compliance, Operational and Financial Risk teams face complex challenges in creating appropriate “control” environments. Many […]
When I first heard the term "Big Data" a few years ago, I immediately thought […]
Beware of "Snake Oil Salesmen" As is the case with any growing industry sector, the […]