How much does your firm spend on Compliance … is it enough?
Written by Don Lee Is your firm spending enough on compliance? That has been one of the main questions over the last […]
Managing Conflicts of Interest across BD and RIAs
Written by Don Lee Many BD firms are expanding their business in the shrinking BD market to the Investment Advisory space. The […]
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.
SEC’s Branch Chief on Data Analysis and 9 things CCO’s should do
Written by Don Lee SEC’s Chief of Staff Andrew Donahue recently spoke at the National Regulatory Services Fall conference and gave CCO’s […]
SEC’s use of ‘Big Data’ anlaytics and Compliance
Written by Don Lee The SEC had a record year of 807 enforcement actions and orders for $8.2 Billion in penalties and […]