The MyComplianceOffice platform provides a unified approach to Conduct Risk. Identify and mitigate potential conflicts from the activities of employees, third parties and the company.
Know Your EmployeeKnow Your Third PartyKnow Your Transactions
Learn more about the most current regulatory issues and their impact on organizations like yours.
Jan 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) published examination priorities for 2016.
[14-April 2011] -- THE Financial Planning Association (FPA) claims its survey of more than 330 Financial Advisors found most firms do not use Financial Advisor Software.