What: The SEC announced that it settled charges against two investment advisers for making false […]
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
As detailed more fully in Regulatory Notice 23-19, FINRA has adopted a short-form membership application […]
Founder and Managing Partner
Principal and Head of Execution Services
Principal and Chief Operating Officer
Principal and Head of Fund and Dealer Advisory
Corporate Governance and Enterprise Risk Management are high on the list. Read More.
You must be logged in to post a comment.