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As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]
To All our Amazing Clients: No matter how you measure it, we want to express […]
Founder and Managing Partner
Principal and Head of Execution Services
Principal and Chief Operating Officer
Principal and Head of Fund and Dealer Advisory
The SEC’s Compliance Program Initiative and 2014 Examination Priorities should serve as a “wake up call”.
Summary: Dodd-Frank Trade Reconstruction Expert Panel INTRODUCTION On June 5th, 2014, Bloomberg Vault and Compliance […]