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June 29 | Fireside Chat: Transitioning Compliance Technology Solutions

June 29 | Fireside Chat: Transitioning Compliance Technology Solutions
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Taylor johnsonChris ditataAmy kadomatsuSchwab compliance technologiesComplysci chief executive officer amy kadomatsuChief executive officerVice presidentCustomer successSenior vice presidentCompliance operationsGeneral counsel

How financial advisors can take the stress out of annual reviews

Chris DiTata, vice president and general counsel of RIA in a Box, shares recommendations on how to make the process headache-free.

Chris ditataFinancial planningPractice and client managementRegulation and compliance

Top securities frauds last year involved promissory notes, stocks and social media, NASAA says

While the pandemic slowed down investigations and court cases, state regulators continued to chase financial scamsters, data shows.

New yorkUnited statesJoseph borgChris ditataMelanie senter lubinAmerican securities administrators associationAlabama securities commissionTexas enforcement director joseph rotundaProtect vulnerable adultsFinancial exploitationNew york city basedRegulation and complianceSecurities fraud

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