Category: Spotlight On Talent

Summer Fun and Q3 Federal Filings For Investment Advisers

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

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WTF? Why are You Such a Fiduciary?

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

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Part 1 of 3: It's 2017, What Are The SEC’s Priorities?

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

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Out With The Old...In With The New

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

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You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?

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

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Bulletin: Hedge Fund Rocked By Bribery Investigation By Dan Dorsky

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

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Who You Callin' A Fiduciary???

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

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E&O: Are You In The Know?

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

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What You Need To Know About Material Non-Public Information (MNPI)

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

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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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