Barge Consulting, LLC is a premier provider of SEC compliance
consulting services for investment management firms and advisors under the Investment Advisor and Investment Company Acts of 1940.
Data governance becomes more important the more systems and applications a compliance
is critical for us," said Harriett Wall, LWCI's Chief Compliance
The IPC Compliance
Survey was conducted in-person at the 2017 Securities Industry and Financial Markets Association (SIFMA) Compliance
and Legal Society Annual Conference on March 19 and 20, in San Diego, CA.
The reorganization of American business around compliance
, by itself, is not necessarily remarkable.
This subordinated quasi-legal role has a number of consequences that tend to undermine the effectiveness of compliance
professionals, not to mention their emotional wellbeing.
There is an expectation among those surveyed that the amount of information published by regulators is going to increase this year, which necessarily contributes to a level of further transparency, but also increases risks for compliance
For many companies, complex account-abilities for compliance
have evolved over time in an ad hoc manner.
The customisable version of C4C Compliance
Officer app is available for free download at the iTunes App Store.
They join the three-person staff headed by NAFCU Director of Regulatory Compliance
Steve Van Beek.
"In this constantly changing regulatory climate, lenders want proven applications to help them meet compliance
requirements," said Paul Mass, president of Clos-ingCorp.
"The activity level among regulators has clearly picked up over the last few years," says Jay Mumford, global ethics and compliance
director at Accenture.