Navigating Your Next SEC Exam Experienced and skilled compliance officers are adept at managing almost […]
Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The […]
FSO Knowledge Xchange is hosting its exclusive Governance, Risk Management, and Compliance Breakfast Briefing on February 25th, […]
Building a Compliance Professional Services Organization Are we Hipster Chic? This past weekend I […]
The SEC alleges that an employee, who worked as an associate in Goldman’s compliance department, […]
The OCIE staff of the SEC released a Risk Alert relating to the Outsourcing of […]
Date: Nov 16-17, 2015 Sponsored by: Compliance Science This year’s conference is shaping up to be […]
ENTER IF YOU DARE! As Halloween is quickly creeping toward us – 2015 will […]
Goldman Sachs Group, Inc. will report earnings on 10/15/2015 before the market opens. Last week […]
9 of 24 BDs Reviewed NOT PREPARED to Respond to Customer Withdrawal of Funds Recently […]
