by Dan Dorsky, Principal, Anti-Corruption and Ethics Practice. An enforcement action jarring the financial services sector has been resolved. Och-Ziff Capital Management Group LLC agreed to pay a [...]
Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges on FINRA registered broker-dealers. Many of these [...]
CRC Announces Forthcoming Whitepaper Addressing Data Quality and Data Integrity Issues Impacting Broker-Dealers CRC is pleased to announce a forthcoming whitepaper written in conjunction with [...]
Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week Goldman publicized that it would announce its earnings via Twitter (@Twitter). The talk since the [...]
Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and expands its monitoring technology for the big data era, firms may feel pressure to [...]
Mitch Avnet notes that firms lacking “consistent and cohesive training and messaging to mid-level managers” place their organizations at great risk. "An organization must create an awareness and [...]
As members of the Financial Services Industry, we find ourselves in the position of having an inordinate amount of confidential information at our disposal...