Accounting & Compliance International

SEC Releases Study on Broker Dealers and Investment Advisors with Recommendations toward a Uniform Fiduciary Standard and Harmonization of Regulation

New York, NY - On Friday, January 21st, 2011, the SEC released a Study on Broker Dealers and Investment Advisors as required by Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The study aims to…more
| Securities Law

NSCP Census - Compliance Compensation and Hiring Practices 2010

The National Society of Compliance Professionals (NSCP) released their 2010 Census information detailing demographic and planning information regarding the number of compliance professionals, experience level, level of education…more
| Securities Law
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