NEW YORK, NY– Compliance Risk Concepts ("CRC") launches new mobile app for financial service organizations. The CRC Hotline app offers on-the-go […]

The SEC alleges that an employee, who worked as an associate in Goldman’s compliance department, traded on confidential information contained […]

The OCIE staff of the SEC released a Risk Alert relating to the Outsourcing of Chief Compliance Officers and Compliance […]

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

Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week Goldman publicized that it would […]

The State of New York recently passed legislation requiring those transacting in virtual currency to become licensed. The new rules […]

This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life Insurance Co. has assigned executive […]

In a non-exclusive co-branding agreement, Compliance Risk Concepts and FinWebTech have teamed up to provide broker-dealers, registered investment advisors, banks […]

  RegEd 2015 Compliance Alliance Client Conference Date: May 4-6, 2015 Location: Raleigh Marriott City Center | Raleigh, NC Join […]

Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary […]