Providers of compliance management solutions, FIN Compliance, announces the transformation of their partner programs to support diversity in...

November 9, 2020. The Securities and Exchange Commission ("SEC") Office of compliance inspections and examinations issued its aud...

October 7, 2020. The North American Securities Administrators Association, Inc. (“NASAA”) is requesting member and public comments on an ame...

August 17, 2020.  In light of the ongoing pandemic, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued an alert to i...

By Cory Roberson, Principal/Founder, FIN Compliance August 11, 2020.   FIN Compliance , a provider of systems for conducting regulatory revi...