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Thomas Fox - Compliance Evangelist

Using Your Employees to Innovate and Transmit the Message of Compliance

Thomas Fox - Compliance Evangelist on

Yesterday I wrote about the use of internal employee crowdsourcing as an innovation tool for a Chief Compliance Officer (CCO) to enhance a best practices compliance program. Multiple readers noted the topic with approval and...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

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