Think Before You Tweet! What are the challenges for broker/dealers and investment advisers trying to use social networking sites? Complinet hosted a webinar on this topic with Clifford Kirsch from Sutherland Asbill & Brennan LLP and Debbie Corej, Vice President, Compliance – Insurance Division, Prudential. Clifford started the discussion by pointing out the need to [...]
Tag Archives: FINRA Rule 09-55
Recent Stories
- Blogoversary
- Compliance Bits and Pieces for February 10
- Proposed FATCA Regulations Released
- New Anti-Money Laundering Requirements for Non-Bank Mortgage Lenders and Originators
- Crowdsourcing the Crowdfunding Exemption
- Compliance, the Middle-Finger Malfunction, and the Reluctant Touchdown
- Compliance Bits and Pieces for February 3
- Margin Call
- Will Private Equity Fund Managers Get a Registration Exemption?
- Changes Coming With Anti-Money Laundering Requirements
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Compliance Building is published by Doug Cornelius, focusing on compliance and ethical issues for private equity real estate companies. Read more in About.
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