Building a Compliance Professional Services Organization Are we Hipster Chic? This past weekend I frequented […]
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 vanish […]
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 […]
The State of New York recently passed legislation requiring those transacting in virtual currency to […]
Emmanuel Olaoye, Thomson Reuters As the Financial Industry Regulatory Authority embraces the cloud and […]
What Help Do Compliance Clients Need? By Lori Tripoli Law Practice Management Expert Even as […]
C-CON Cleveland - Compliance Officer Network Location: McDonald Hopkins LLC, 600 Superior Ave, Cleveland, […]
Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former […]
This article originally published by The Global Association of Risk Professionals (GARP) Massachusetts Mutual Life […]
As a Former Chief Compliance Officer, I am frequently asked by my clients to help […]
RegEd 2015 Compliance Alliance Client Conference Date: May 4-6, 2015 Location: Raleigh Marriott City […]
