As the second quarter of 2017 draws to a close we’ve put graduations behind us and for some of us, […]

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

Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By now, every CCO and their […]

COMPLIANCE BULLETIN: OUT WITH THE OLD...IN WITH THE NEW Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant Why is January […]

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent SEC announcement by OCIE […]

by Dan Dorsky, Principal, Anti-Corruption and Ethics Practice. An enforcement action jarring the financial services sector has been resolved. Och-Ziff […]

COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory The United […]

Several times over the past decade FINRA has indicated they may be considering making it a requirement for broker-dealers to […]

Whether you are a small-town doctor or a powerful hedge fund manager - the SEC doesn’t discriminate! If you are […]

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