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Email us: info@compliancesolutionsstrategies.com

It Takes a Village – Preparing for a Regulatory Exam

Advanced planning for a regulatory exam remains a vital step in ensuring the compliance team is prepared when the exam teams comes knocking. At the recent CSS/Ascendant fall conference in San Diego, Allison Fraser moderated the conference’s capstone session on the topic, joined by Bryan Bennett, the Associate Regional Director in the examination program in … Continued

The ‘Next Frontier’ in Investment Advice

We live in a world filled with dramatic change on a scale we’ve never seen before. The speed and magnitude of change in so many areas is fueled by technology. The sheer number of processes and functions we’re able to address simply from our phones has upended so many different industries, including travel, entertainment, and … Continued

Lessons Learned: Wargaming Your Incident Response Plan

Data breaches and cyber incidents made headlines again recently with the announcement that 50 million Facebook accounts were compromised as well as the SEC’s issuance of sanctions against a dual registrant stemming from the firm’s response to phishing attacks. So it was both timely and fitting that U.S. intelligence community veteran Jeff Welgan, Executive Director … Continued