Compliance Officer Questions & Answers (Client Money, Cobs, Tcf)
May 31st, 2009Posted in Regulatory Compliance Consulting | No Comments »
FTC VS Apple & Google - Investigation is Questionable
May 30th, 2009Neither company currently competes with each other, but this does set up an interesting anti-trust issue. I mean if you are going to go after Microsoft for their dealings with bundling and working with hardware distributors then you Must look into this. Still, this is a really weak case considering the size of Google and all the other issues that might cause one concern.
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Compliance Officer Questions & Answers (Client Money, Cobs, Tcf)
May 29th, 2009Posted in Regulatory Compliance Consulting | No Comments »
Four Key Elements You Need to Know About the Proposed Regulation S-P Amendments
May 28th, 2009It has been approximately one year since the Securities and Exchange Commission proposed changes to Regulation S-P. When originally implemented, Regulation S-P required financial services firms, such as broker-dealers and registered investment advisers, to have a privacy policy that safeguards customers personal data. For those firms that failed to review or comment on the amendments you are in luck because the SEC reopened the comment period on April 15, 2009.
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Compliance Officer Questions & Answers (Client Money, Cobs, Tcf)
May 27th, 2009Posted in Regulatory Compliance Consulting | No Comments »
FTC VS Apple & Google - Investigation is Questionable
May 26th, 2009Neither company currently competes with each other, but this does set up an interesting anti-trust issue. I mean if you are going to go after Microsoft for their dealings with bundling and working with hardware distributors then you Must look into this. Still, this is a really weak case considering the size of Google and all the other issues that might cause one concern.
Posted in Regulatory Compliance Consulting | No Comments »
Compliance Officer Questions & Answers (Client Money, Cobs, Tcf)
May 25th, 2009Posted in Regulatory Compliance Consulting | No Comments »
FTC VS Apple & Google - Investigation is Questionable
May 24th, 2009Neither company currently competes with each other, but this does set up an interesting anti-trust issue. I mean if you are going to go after Microsoft for their dealings with bundling and working with hardware distributors then you Must look into this. Still, this is a really weak case considering the size of Google and all the other issues that might cause one concern.
Posted in Regulatory Compliance Consulting | No Comments »
Compliance Officer Questions & Answers (Client Money, Cobs, Tcf)
May 23rd, 2009Posted in Regulatory Compliance Consulting | No Comments »
FTC VS Apple & Google - Investigation is Questionable
May 22nd, 2009Neither company currently competes with each other, but this does set up an interesting anti-trust issue. I mean if you are going to go after Microsoft for their dealings with bundling and working with hardware distributors then you Must look into this. Still, this is a really weak case considering the size of Google and all the other issues that might cause one concern.
Posted in Regulatory Compliance Consulting | No Comments »