Is the SEC overly concerned with Outsourced Chief Compliance Officer Engagements?
“Domain expertise tailored to your firm’s specific needs becomes a pivotal criterion in selecting the right individuals.”
How to offer an ATS in the US Capital Markets
To offer Cryptocurrency Trading in the US Capital Markets, you must start your own securities exchange or start your own Alternative Trading System (“ATS”).
“Bad Apple” accused of Insider Trading
As Chief Compliance Officers, we are responsible for implementing policies and procedures to protect the fairness and integrity of our client’s business.