Reduce Compliance Risk by Doing More With Less A recent Deloitte study found that organizations surveyed indicated that that as their compliance... READ MORE
FINRA Guidance on the Supervision of Independent Contractors Many of the firms that I work with, both large and small, work with representatives that are... READ MORE
DOJ Demonstrates Heightened Focus on Third-Party Risk Recent guidance from the US Department of Justice (DOJ) on the Evaluation of Corporate Compliance... READ MORE
