Now that You’ve Seen FINRA’s Exam Priorities – How About Some Practical Guidance? On January 6, 2015 FINRA published its 10th annual Regulatory and Examinations Letter. Although 17 pages and dense, when broken down it is a roadmap for broker-dealers as to actions they can take now to reduce regulatory risk in 2015. Most broker-dealers […]
Are you prepared to handle the new requirements for the Affordable Care Act ? Under the law, a new “Patient’s Bill of Rights” provides protection for covered individuals and their dependents. Employers need to be aware of these requirements, and employees should understand their entitlements. I
In today’s Compliance Week, JW Michaels Managing Partner Jason Wachtel discussed the need for compliance officers to have excellent leadership and communication skills. “Companies are seeking compliance leaders who have the ability to influence others, communicate effectively, and build relationships with a wide range of internal and external stakeholders, including regulators. “So you want that […]
On October 28, JW Michaels & Co. was ranked as the 20th fastest growing company on Symmetry50’s annual list of the top 5o fastest growing small businesses in New York City. Learn more about how JW Michaels has become so successful and see the full list of companies on Symmetry50’s blog: http://www.symmetry50.com/blog/2014/10/21/the-fastest-growing-small-businesses-in-nyc
Alternative asset managers are starting to take regulatory compliance more seriously, with a spike in hiring of compliance professionals this year. The shift comes even amid evidence that some managers, especially smaller ones, seem to take a dismissive view toward compliance – an attitude that experts say could cost them dearly in the long run.
On Wednesday, August 20, Inc. magazine released it’s annual list of the top fastest growing privately held companies. JW Michaels was ranked #792 on the list of 5,000. Inc. has been ranking private companies for 33 years, so this is quite an honor! We would like to thank all our clients and candidates for making […]
This article originally published in the Wall Street Journal : The Morning Risk Report The boom in the hiring of chief compliance officers and mid-level compliance staff is driven by not only an explosion of rules and regulations but by the fear of becoming the next poster child for wrongdoing, says an executive at a […]
The Regulatory Compliance Association (RCA), and its 78,000 asset management executive members have commended JW Michaels for its endowment of RCA’s myUniversity and PracticEdge Curricula. Specifically, the RCA extended a special accommodation to managing partner Jason Wachtel as the Senior Fellow from Practice for “Compensation Trends in Alternative Asset Management,” an RCA PracticEdge session Jason led in February. The […]
The compliance world is busy talking about the recent news that French bank BNP Paribas SA will likely pay a record fine of over $8 billion as part of a settlement with the Justice Department over violations of sanctions related to Sudan. Bloomberg reports that BNP Paribas conducted billions of dollars of illegal transactions on behalf […]
NEW YORK, NY, June 18, 2014 /24-7PressRelease/ – Four Points Capital Partners LLC (“Four Points”), a New York based independent brokerage has found a way to rise above, in their strategic partnership with Compliance Risk Concepts (“CRC”).