By Guest Contributor and Author: Brett Molotsky, VP of Industry Solutions at Aprimo Financial services organizations know a thing or two about pressure. Risk management, regulatory policy, the burdens of remaining compliant while always trying to improve efficiencies and speed…
Many people, including high-ranking executive leaders, tend to let their eyes glaze over when topics like IT management and cybersecurity come to the forefront. It’s not that they’re unconcerned – in fact, many executives rank cybersecurity as one of their…
In July, Robert Cook, President, and CEO of FINRA (Financial Industry Regulatory Authority), warned member firms that FIRNA would soon begin three targeted sweeps to address areas of concern: Options account opening Special purpose acquisition companies (SPACs) Supervision of…
No one likes being overbilled for a product or service, whether you’re talking about something as small as using a coupon code or as large as managing your investments. When the overbilling involves services provided to advisory clients, the consequences…
Special Purpose Acquisition Companies (SPACs) have become increasingly popular as private companies see the potential opportunities they provide to bring private companies into public markets more quickly than possible under a traditional IPO (initial public offering). High-profile companies that have…
Red Oak Compliance, a provider of financial services compliance software, has been named to The Financial Times list of The Americas’ Fastest Growing Companies 2021. The Americas’ Fastest Growing Companies highlights the companies and industries most strongly contributing to economic…