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Between winning awards for her work in the DEI space and educating chief compliance officers, the ComplySci leader keeps a full schedule.
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.
/PRNewswire/ -- ComplySci, the leading provider of regulatory technology and compliance solutions for the financial services sector, announced a webinar to...
Chris DiTata, vice president and general counsel of RIA in a Box, shares recommendations on how to make the process headache-free.
While the pandemic slowed down investigations and court cases, state regulators continued to chase financial scamsters, data shows.