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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Stories of Interest: Compliance Concepts

Goldman’s Compliance Looking at Venezuela Trade to Improve Vetting Process

June 5, 2017

Compliance Profession Needs to Adopt Professional Standards

May 29, 2017

The State of Mind of a White Collar Criminal

May 18, 2017

A Deliberate Process for Conducting a Compliance Risk Assessment

April 18, 2017

Regulations Excessive? Better to Ask if Regulatory Objectives are Being Achieved

March 17, 2017

Compliance and Private Equity: An Oxymoron?

March 13, 2017

Lack Of Diversity Leads to Bad Decision-Making - Sallie Krawcheck

February 1, 2017

Goldman’s $285Mn Package for Gary Cohn Raises 'COI' Questions

January 26, 2017

‘If I Wag My Finger About Diversity and Inclusion, My Law Firm Partners Will Give Me a Different Finger’

January 23, 2017

You’re the Victim of Fake News, Now What?

January 19, 2017

'What Were They Thinking?' The (Il)legitimacy of Compliance?

December 22, 2016

E-Mail Communications: The Devil is on the Server

December 22, 2016

Shortchanging the Compliance Function

December 15, 2016

Do Advisor Clients Really Understand Their Risk Tolerance?

December 14, 2016

The Real Problem with Fake News? It's the Credulous Readers, Stupid

December 2, 2016

Materiality Issues Get Attention After Wells Fargo

November 9, 2016

FINRA’s Monthly Podcast - Notices, Compliance Resources, News

November 1, 2016

Why Companies Like Wells Fargo Ignore Their Whistleblowers – At Their Peril

October 25, 2016

Four Qualities OSJs Should Look for in B/D Relationships

October 24, 2016

Compliance Personnel: “Architects & Engineers” of Automated Compliance Systems

October 14, 2016

White Column Crimes: What Separates Honest CEOs From White-Collar Criminals

October 12, 2016

Compliance is Working - Survey

October 5, 2016

What Men Really Think About Workplace Gender Bias - “It’s a problem, just not where I work.”

September 26, 2016

Sampling as a Compliance Strategy

September 20, 2016

Talking With Your Feet – The CCO’s Ethical Dilemmas

September 18, 2016