Spotlight On Talent

As the second quarter of 2017 draws to a close we’ve put graduations behind us and for some of us, we eagerly await the start of summer camp, others plan day trips to the beach (raise your hand [...]

BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance Risk Concepts The Department of Labor (DOL) Fiduciary Rule, was originally [...]

Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By now, every CCO and their team have asked themselves this question, and if you have [...]

COMPLIANCE BULLETIN: OUT WITH THE OLD…IN WITH THE NEW Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant Why is January 1 different from all other days of the year? After all, [...]

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent SEC announcement by OCIE correlates to the point that [...]

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 [...]

COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory The United States Department of Labor (“DOL”) recently finalized rules [...]

Several times over the past decade FINRA has indicated they may be considering making it a requirement for broker-dealers to maintain errors and omission insurance (E&O) to cover the payment [...]

Whether you are a small-town doctor or a powerful hedge fund manager – the SEC doesn’t discriminate! If you are abusing your fiduciary duty and use material, non-public information to trade [...]

The State of New York recently passed legislation requiring those transacting in virtual currency to become licensed. The new rules mirror much of what is already in place for many [...]