Core Compliance Blog Spotlight

Keeping Accurate Books? — SEC Charges BGC Financial for Failure to Preserve Critical Records

A broker-dealer’s internal Policies and Procedures for keeping accurate and up-to-date records of compensation, travel, and gifts and entertainment expenditures, including audio files, are an essential part of a firm’s books and records requirements.

Read More

Latest News & Events

Through our client communications, trainings and monthly Risk Management Updates, we provide guidance on compliance...


CCO Buzz

We've taken a little summer vacation, but we'll be rolling out new episodes later this month.

Catch up on past episodes, so you're ready for our return in August 2018.