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November 2, 2022
Between winning awards for her work in the DEI space and educating chief compliance officers, the ComplySci leader keeps a full schedule.
September 30, 2022
The lack of formal codification and an accurate count of customers leaves the profession struggling with fundamental questions about identifying the true practitioners and their base of clients.
August 11, 2022
/PRNewswire/ -- ComplySci, the leading provider of regulatory technology and compliance solutions for the financial services sector, announced a webinar to...
April 15, 2022
Chris DiTata, vice president and general counsel of RIA in a Box, shares recommendations on how to make the process headache-free.
September 30, 2021
While the pandemic slowed down investigations and court cases, state regulators continued to chase financial scamsters, data shows.