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

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

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

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

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

by Dan Dorsky, Principal, Anti-Corruption and Ethics Practice. An enforcement action jarring the financial services […]

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

Several times over the past decade FINRA has indicated they may be considering making it […]

Whether you are a small-town doctor or a powerful hedge fund manager - the SEC […]

The State of New York recently passed legislation requiring those transacting in virtual currency to […]