How much does your firm spend on Compliance … is it enough?
Is your firm spending enough on compliance? That has been one of the main questions over the last
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Managing Conflicts of Interest across BD and RIAs
Many BD firms are expanding their business in the shrinking BD market to the Investment Advisory space. The
Read more →Are Debit Card transactions flying under your firm’s AML radar?
Debit card transactions should be included in AML programs. This added data increases the burden of review resulting in the need for automated compliance software such as FinWebTech’s Catalyst Compliance Solution.
Read more →SEC’s Branch Chief on Data Analysis and 9 things CCO’s should do
SEC’s Chief of Staff Andrew Donahue recently spoke at the National Regulatory Services Fall conference and gave CCO’s
Read more →SEC’s use of ‘Big Data’ anlaytics and Compliance
The SEC had a record year of 807 enforcement actions and orders for $8.2 Billion in penalties and
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