July 7, 2017
It’s only going to get harder to detect 21st century fraud with 20th century technologies. Embrace technology in your compliance program.
compliance program Tag
May 9, 2017
Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics…
March 16, 2017
On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.
August 3, 2016
The defense of a CCO’s reputation against liability claims costs significant money, and adds up whether you did something wrong or not, sparking the potential need for an individual liability policy.
May 31, 2016
The SEC plans to propose the rules establishing a program of third-party compliance assessment in April 2017
May 31, 2016
A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance…
May 25, 2016
Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.