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Jun 02, 2015, 04:14 ET Compliance Conference to Provide Valuable Regulatory Insights

The regulatory climate continues to change and securities firms are experiencing more risk-based scrutiny from regulators requiring firms to foster a ...


Jan 29, 2015, 08:39 ET New FinTrax™ Software Provides Real-Time Net Capital Monitoring

With FINRA's increasing level of surveillance over the compliance of member firms, new Regulatory Compliance software is helping broker-dealers...


Sep 16, 2014, 11:23 ET Cyber-Security Conference to Identify Financial Services Industry Risks

Does your financial services firm know where its data is? With 78 percent of organizations experiencing a data breach during the past two years,...


May 16, 2014, 02:39 ET Regulatory Compliance Announces Expansion of New York Office and Team

Regulatory Compliance is expanding its reach to broker-dealers, investment advisers, hedge funds and private equity firms with the addition of Evan...


Mar 05, 2014, 02:39 ET Regulatory Compliance Announces Angell Pension's Jeffrey Bauer as Partner

Jeffrey Bauer, president of Angell Pension Group, a national leader in third-party pension plan administration and compliance, has become a partner...


Dec 04, 2013, 03:20 ET RC Unplugged Conference to Provide Valuable Regulatory Compliance Insights

As the regulatory climate has changed post-Madoff, securities industry firms can expect more risk-based scrutiny from federal and state regulators,...