Compliance and Financial Oversight Blog
Fintech, Investment Adviser, Broker/Dealer Compliance Officers
NASD, FINRA, NYSE Regulation Alumni
RT @skupor: The shorts eating one of their own - apparently it's a conflict for Markopolos to have a profits interest in a hedge fund that…
RT @RoySnellSCCE: Waiting for due process but if true, the final report should include a factual assessment as to how the checks & balances…
RT @skupor: "It is now more common for a woman to be more educated than her husband than vice versa." As of 2017, 31% of women earned as mu…
This is not all bad. I like Feldstein comments: “To succeed in the asset management business, you need scale, durat… https://t.co/rz6H1BARj7
@SeanAstin @TwitterMoments Awesome. I was able to inform a lifelong pal [now in Houston, Texas] that you're in… https://t.co/X1wYtMQxSY
@bobmouldmusic @adultswim @Squidbillies Another great tune. I'm sure: you'll enjoy Berlin, playing Sunshine Rock +… https://t.co/0dGI9mqaNh