Category archive for ‘Compliance’

• C&A Consulting Expands in Compliance

  2/15/12 • (0)

• NYC Law Firm Opens Unit for Broker-dealers, RIAs

  2/01/12 • (0)

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  Smarsh: Many Firms Don’t Know What to Expect From SEC Oversight

  1/20/12 • (0)

• Hammerman Chief Jumps to Money Manager Valentine for Compliance Post

  11/14/11 • (0)

• Schwab Announces Compliance Software Deal with Chicago Firm

  11/01/11 • (0)

• LPL Financial Hires FINRA Veteran For Regulatory and Compliance Policy

  10/03/11 • (0)

• Roadmap to Independence: Navigating the Transition to Becoming an RIA

  9/21/11 • (0)

• Regulation Opens Door to High Frequency Trading of Equity Options in Europe, Says TABB Group

  9/12/11 • (0)

• Four Issues Private Equity Groups Should Address Before Taking a Portfolio Company Public

  8/16/11 • (0)

• New Whitepaper: “Surviving an Audit – Understanding Compliance Under the Dodd-Frank Act”

  7/12/11 • (0)