Category: Industry News

CRC Enters Mobile Space with New Compliance Hotline App

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

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IT Employee Trades On Confidential Goldman Emails

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

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Assessing Outsourced CCO Risk Before the SEC Completes the Assessment for You

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

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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 another great one. The list […]

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Goldman, Twitter & Square Entwinement

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

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Spotlight On Talent: Kevin Wheeler On NY's Virtual Currency Regulation

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

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MassMutual Life Insurance Co. Makes Move For Improved Governance and Consistency Across Actuarial and Risk Functions

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

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Financial Services Firms Get New View For Compliance Programs

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

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RegEd Compliance Alliance Conference

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

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BlackRock Charged By SEC With Failing to Disclose Conflict of Interest

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

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