What: The SEC announced that it settled charges against two investment advisers for making false […]
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 […]
In a non-exclusive co-branding agreement, Compliance Risk Concepts and FinWebTech have teamed up to provide […]
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 […]
Washington D.C., April 20, 2015 — The Securities and Exchange Commission today charged BlackRock Advisors […]
The world has changed in cyber space. It used to be a company could create […]
Amid a tough climate of regulatory enforcement and an explosion of new rules after the […]
The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered […]
As we all contemplate our priorities for 2015, we can be rest assured that Cybersecurity will continue to be a focus area for FINRA, the SEC and other regulators in the coming year. Based on our understanding and utilization of the NIST CICS framework, we can offer your organization a best-in-class, cost effective assessment, training, and technological suite of solutions that can be tailored to meet your company’s specific needs, requirements and budgetary constraints.