The SEC’s Compliance Program Initiative and 2014 Examination Priorities should serve as a “wake up call”.
On January 9th, the SEC published it's National Examination Priorities for 2014. On the top of their list - Fraud Detection and Prevention, Corporate Governance, Conflicts of Interest, Enterprise Risk Management, Technology and issues specific to Dual Registrants.
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On 10/30/2013, CRC conducted its first industry Compliance Roundtable. Hosted by Barry Barbash, Partner at […]
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 […]
