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CATEGORY

Risk and Money Management

Highlight On Expertise: Kevin Wheeler On NY’s Digital Forex Regulation

The State of New York lately handed laws requiring these transacting in digital foreign money to grow to be licensed. The brand new...

Webinar: Navigating Your Subsequent SEC Examination

Compliance Science, Inc. is internet hosting a February webinar entitled, "Navigating Your Subsequent SEC Examination". The webinar dialog will concentrate on a variety...

See Ya Lata – Dangerous Information!

CRC Pronounces Forthcoming Whitepaper Addressing Information High quality and Information Integrity Points Impacting Dealer-Sellers CRC is happy to announce a forthcoming whitepaper written together...

E&O: Are You In The Know?

A number of instances over the previous decade FINRA has indicated they might be contemplating making it a requirement for broker-dealers to keep...

Who You Callin' A Fiduciary???

COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Highlight On Expertise: David Amster, Principal and Head of Fund and Vendor Advisory America Division of Labor (“DOL”)...

You’ve Established The Tone At The Prime – Do You Know The Temper In The Center?

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONSHighlight On Expertise: Lilian Colpas, Senior Compliance Advisor The newest SEC announcement by OCIE correlates to the purpose that whistleblowers...

Bulletin: FINRA 2017 Regulatory and Examination Priorities Letter

Typically, Being Two-Confronted is a Good Factor… Highlight On Expertise: David Amster, Principal and Head of Fund and Seller Advisory On January 1, 153 B.C.,...

Annoyed Reformist Says Cash At all times Wins – Politics At all times Realign – Threat Managers

By Chris Deacon You may spend years making an attempt to do the fitting factor. Make sacrifices. Inform the reality. Keep the course. Belief...

Half 1 of three: It is 2017, What Are The SEC’s Priorities?

Analyzing issues of significance to retail traders Highlight On Expertise: Portia Amato, Compliance Officer  By now, each CCO and their crew have requested themselves this...

Tom Slack – Danger Managers

By Invoice Rusteberg When Tom was elevated to the place of Vice President of Gross sales of Blue Cross Blue Defend of Texas again...
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