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Cybersecurity and Compliance: Protecting You Firm from Phishing - Blog

 
Monday, August 2 2021
Blog

Finfluencers and Zoom Inspections

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:  ... [...]
Wednesday, May 26 2021
Blog

Financial Reporting and Auditing of SPACs

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... [...]
Tuesday, May 18 2021
Blog

Should You Purchase a Written Supervisory Procedures Template?

Purchasing a template written supervisory procedures compliance manual is a commonplace happening in the industry. After all, it seems like a great solution to the problem of carving out time and creating a lengthy and complex guide from scratch.  ... [...]
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