Compliance from A to Z

You Name It, We’ll Cover It! Fundamental Discussion of an Effective Compliance Program From the Compliance Program Rule to Supervisory Liability Handling Complaints

Supervisory Liability – Balancing Risk and Oversight

Supervisory Liability – Balancing Risk and Oversight The Chief Compliance Officer position comes with many responsibilities and possible liabilities. Hear our consultants’ thoughts on how to determine whether you may be deemed a supervisor over aspects of your firm’s compliance … Read more