Corlytics teams with Digital Reasoning to boost conduct risk detection for global financial institutions
10 mai 2018 08h00 HE | Digital Reasoning Systems, Inc.; Corlytics
NASHVILLE, Tenn., May 10, 2018 (GLOBE NEWSWIRE) -- Two highly innovative technology firms, Corlytics and Digital Reasoning, announced today that they will collaborate on an integrated regulatory...
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William Uchimoto Appointment Announced by APT Systems, Inc.
03 avr. 2018 16h02 HE | APT Systems, Inc
SAN FRANCISCO, CA , April 03, 2018 (GLOBE NEWSWIRE) -- APT SYSTEMS, INC. (OTC PINK: APTY) APT SYSTEMS, INC. is pleased to announce it has retained William Uchimoto as legal counsel for its...
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Investment Banks Improve but Aren't Out of the Woods
02 mai 2017 12h00 HE | BCG
NEW YORK, May 02, 2017 (GLOBE NEWSWIRE) -- Although investment banks have generally raised their performance levels, they face a wide range of challenges in their quest to achieve positive revenue...
Financial Regulation and Compliance: New Book by Former SEC Inspector General on Navigating an Increasingly Complex Regulatory Environment
11 août 2015 08h00 HE | Berkeley Research Group, LLC
EMERYVILLE, CA--(Marketwired - August 11, 2015) - H. David Kotz's new book, Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight, provides compliance...
Wolters Kluwer Law & Business Launches RBsourceFilings
09 sept. 2014 12h23 HE | Wolters Kluwer Legal & Regulatory
NEW YORK, N.Y., Sept. 9, 2014 (GLOBE NEWSWIRE) -- Wolters Kluwer Law & Business, a leading global provider of intelligent information for business and legal professionals, today announced the launch...
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85Broads Owner, Constellation Brands CEO, and M&T Bank CEO Top Simon Business School Annual Conference in New York City
24 avr. 2014 11h41 HE | University of Rochester
MEDIA ADVISORY—ATTENTION DAYBOOK/CALENDAR EDITORS Contact: Adrienne Nardella, Coyne PR, anardella@coynepr.com, (973) 588-2000 or Charla Stevens Kucko, Simon Business School,...
RIA In A Box Provides Free February 7 Webinar on SEC to State Transition Challenges and Requirements
25 janv. 2012 07h00 HE | RIA In A Box
NEW YORK, NY--(Marketwire - Jan 25, 2012) - RIA In A Box (www.RIAinaBox.com), a compliance consulting business aimed exclusively at registered investment advisory firms, will host a free webinar...
Lexington Compliance Launches Monthly Compliance Webinars With Live Q & A Hosted by Former Top State Regulator
19 janv. 2011 07h00 HE | RIA In A Box
NEW YORK, NY--(Marketwire - January 19, 2011) - Lexington Compliance (www.lexcompliance.com), the compliance and oversight arm of RIA In A Box , today announces it is offering monthly compliance...
RIA In A Box Partners With Lloyds of London and North American Professional Liability Insurance Agency (NAPLIA) to Provide the First-Ever Group E&O Insurance Program for RIAs
18 oct. 2010 06h00 HE | RIA In A Box
NEW YORK, NY--(Marketwire - October 18, 2010) - RIA In A Box (www.RIAinaBox.com), a consulting business aimed exclusively at efficient creation of registered investment advisory firms, today announces...
SEC Rules for New RIA ADV Part 2 Require Creation of Plain English Brochure to Disclose Background and Business Practices
02 août 2010 11h58 HE | RIA In A Box
NEW YORK, NY--(Marketwire - August 2, 2010) -  The SEC has adopted new rules (http://www.sec.gov/rules/final/2010/ia-3060.pdf ) that significantly impact all SEC registered RIAs. These new rules...