Month: July 2018

Cyber security is a topic which is front and center, not just as a compliance issue but for being prepared to manage a hack and the multiple issues such an event creates. The huge hack at Equifax, Inc. is a …

Equifax Manager Pleads Guilty to Insider Trading Read More »

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Compliance is critical for any organization. Investment advisers and broker-dealers are required, for example, to have effective, implement compliance procedures. Despite the benefits of constructing and maintaining an effective compliance system, ranging from enhancing the culture of the firm to …

Failure to Implement Compliance Program Spells SEC Liability for B/D Read More »

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