Category archive for ‘Compliance’

• 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)

• Hedge Fund Demand for SEC Registration Expands Firm’s Regulatory and Compliance Team

  6/24/11 • (0)

• US Banks’ Ratings Primed for Closer Agreement with Market Trading Levels

  6/20/11 • (0)

• Doing Business in the U.S., What Foreign Firms Need to Know

  6/15/11 • (0)

• Schroders Private Banking Receives Banking License in Singapore

  4/18/11 • (0)

• Money Manager and Hedge Fund Regulatory Exemptions

  2/23/11 • (0)

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  New Year to Bring New Pressures for Broker-Dealers

  12/17/10 • (0)