Of the myriad of new hire documents that must be completed, the Form I-9 is one of the most important when it comes to immigration compliance. The Form I-9 is used for verifying the identity and ...

I continue my series of blog posts on the hiring process in the compliance field based on a series of interviews I did with Maurice Gilbert, the Managing Partner at Conselium Partners LP. Today, I ...

For financial advisors who've aspired to go into business for themselves, the new year may be time to take the leap into firm ownership. But before you leap, take a look at compliance consulting firms ...

With regulation of the advisory industry becoming ever more complex, it should come as little surprise that planners occasionally look to outside experts for help staying in compliance. Indeed, a ...