The recent action taken by the SEC against three Investment Advisers should serve as a “wake up call” for the IA sector. IAs should utilize the recent sanctions as a “road map” / “checklist” for their own internal controls.
Compliance in Financial Services White Paper | Compliance organizations have had good success leveraging new technologies to improve efficiency, but recent trends as discussed will increasingly force compliance leaders to take action to mitigate the risks arising from the data and regulation explosion.
Round table discussion of senior compliance risk management executives from leading financial services institutions on October 30, 2013. Expected attendees include other senior compliance risk management executives.
Four Points Capital Partners Llc Announces Partnership With CRC, to create and shape its Compliance Culture in the early stages of its evolution.
CRC Service Spotlight: 3012 / 3130 Testing and Certification Annually, FINRA member broker-dealers are required […]
Look behind the scenes at how Mitch Avnet and his team are developing business cases to substantiate investments in Compliance technology.
As members of the Financial Services Industry, we find ourselves in the position of having an inordinate amount of confidential information at our disposal...
Summary: Dodd-Frank Trade Reconstruction Expert Panel INTRODUCTION On June 5th, 2014, Bloomberg Vault and Compliance […]
Compliance, Operational and Financial Risk teams face complex challenges in creating appropriate “control” environments. Many […]
One of the primary drivers for Compliance Risk Concepts (CRC) is to raise the awareness […]
