Q: What precautions do startups need to take to protect their intellectual property? As an entrepreneur, you may be unclear o...
Now that You’ve Seen FINRA’s Exam Priorities – How About Some Practical Guidance? On January 6, 2015 FINRA published it...
Are you prepared to handle the new requirements for the Affordable Care Act ? Under the law, a new “Patient’s Bill of Rig...
Just in Time For The Holidays In the wake of the many highly publicized data-breaches in 2014, our clients have reached out t...
In today's Compliance Week, JW Michaels Managing Partner Jason Wachtel discussed the need for compliance officers to have exc...
On September 18, 2014, the SEC issued a final Order against registered investment adviser - Strategic Capital Group (“SCGâ€...
YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end of 20...
Alternative asset managers are starting to take regulatory compliance more seriously, with a spike in hiring of compliance pr...
In a recent Bloomberg article, JW Michaels co-founder Justin Mandel discusses the need for compliance executives to have an u...
In a recent interview with The Hedge Fund Law Report, JW Michaels’ Managing Partner Jason Wachtel discussed the compensatio...
This article originally published in the Wall Street Journal : The Morning Risk Report The boom in the hiring of chief compli...
The compliance world is busy talking about the recent news that French bank BNP Paribas SA will likely pay a record fine of o...
Summary:Â Dodd-Frank Trade Reconstruction Expert Panel INTRODUCTION On June 5th, 2014, Bloomberg Vault and Compliance Risk C...
NEW YORK, NY, June 18, 2014Â /24-7PressRelease/Â -- Four Points Capital Partners LLC ("Four Points"), a New York based indepe...
Compliance Bulletin 03-14 With the recent SEC enforcement actions taking place, greater emphasis is being put on compliance r...
Social Media Governance for Public Companies by Mitch Avnet Compliance Risk Concepts recently published Social Media Governan...