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                                        Compliguide Shop - CompliGuide, LLC : CompliGuide, LLC
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                                        PRODUCTS & SERVICES. News & Publications. Blog: The Compliance Conundrum. FUNCTION LIKE A BIG FIRM – JUST DON’T SPEND LIKE ONE! AFFORDABLE COMPLIANCE SUPPORT 24 HOURS A DAY/7 DAYS A WEEK. CompliShop is your firm’s Online Compliance Support Center. Purchase individual products or become a member for access to our online database of essential compliance tools. Identify. Tack. Resolve. Compliance Cue assists financal firms manage compliance obligations and supervisory risk. Log In as needed. A Newsletter wi...
                                     
                                    
                                        
                                            
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                                        Finally! A Newsletter with Practical Compliance Tips You Can Use. - CompliGuide, LLC : CompliGuide, LLC
                                        http://compliguide.com/2012/04/finally-a-newsletter-with-practical-compliance-tips-you-can-use
                                        PRODUCTS & SERVICES. News & Publications. Blog: The Compliance Conundrum. A Newsletter with Practical Compliance Tips You Can Use. 17 Apr, 2012. We invite you to subscribe to CompliGuide’s Newsletter- Practical Pointers from CompliGuide. Click on the link to subscribe. Subscribe to our newsletter. Jennifer Woods Burke provides compliance counseling and crisis management consulting to financial firms and individual financial professionals. Over the course of her career, Jennifer has represented a broa...
                                     
                                    
                                        
                                            
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                                        Events - CompliGuide, LLC : CompliGuide, LLC
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                                        PRODUCTS & SERVICES. News & Publications. Blog: The Compliance Conundrum. National Society of Compliance Professionals. What Financial Service Firms Need to Know. Register through the www.nscp.org. Speaker: Jennifer Woods Burke, Esq. Founder of CompliGuide, LLC. September 27, 2012. Social Media and Compliance. Jennifer Woods Burke will be presenting. October 22-24, 2012. National Society of Compliance Professionals 2012 Annual Conference. Register Here: https:/ www.eiseverywhere.com/ehome/42305. Company ...
                                     
                                    
                                        
                                            
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                                        News & Publications - CompliGuide, LLC : CompliGuide, LLC
                                        http://compliguide.com/news-articles
                                        PRODUCTS & SERVICES. News & Publications. Blog: The Compliance Conundrum. News & Publications. SpotLight on Internal Investigations. May 2012 Financial Planning Magazine. How the Home Office Helps. The GAMA International Journal. The Risk of Hide and Seek. Tricks and Traps: The Potential Minefield that are Internal Investigations. Practical Compliance and Risk Management for the Securities Industry. Re-assessing Your Regulatory Responses. Compliance Confidence: Internal Investigations Part Two. April 10,...
                                     
                                    
                                        
                                            
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                                        The Compliance Trouble - CompliGuide, LLC : CompliGuide, LLC
                                        http://compliguide.com/2011/11/the-compliance-trouble
                                        PRODUCTS & SERVICES. News & Publications. Blog: The Compliance Conundrum. 2 Nov, 2011. By Jennifer Woods Burke. Principal, CompliGuide, LLC. Recently, Investment News Daily ran the following headline “ Thousands of Wirehouse Reps to be Shown the Door in the Next Five Years. When advocating for their potential recruit, management often argues FP came from a well established firm that did not have a problem with X or Y so why should we? How confident can your firm be that its’ policies and procedures will ...
                                     
                                    
                                        
                                            
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                                        About - CompliGuide, LLC : CompliGuide, LLC
                                        http://compliguide.com/about
                                        PRODUCTS & SERVICES. News & Publications. Blog: The Compliance Conundrum. Navigating the complex securities regulation scheme is difficult. COMPLIGUIDE provides compliance knowledge tools, tutorials and telephonic counseling. We focus on regional and national companies involved in the financial services industry such as:. Private Equity Fund Managers. COMPLIGUIDE offers the following services:. Compliance Policy Manual re-writes. Regulatory or Enforcement Alerts or Newsletters. CALL US - (845) 244-1547. 
                                     
                                    
                                        
                                            
                                            compliguide.com
                                        
                                        Blog: The Compliance Conundrum - CompliGuide, LLC : CompliGuide, LLC
                                        http://compliguide.com/blog
                                        PRODUCTS & SERVICES. News & Publications. Blog: The Compliance Conundrum. Blog: The Compliance Conundrum. A Newsletter with Practical Compliance Tips You Can Use. 17 Apr, 2012. We invite you to subscribe to CompliGuide’s Newsletter- Practical Pointers from CompliGuide. Click on the link to subscribe. Subscribe to our newsletter. 2 Nov, 2011. By Jennifer Woods Burke. Principal, CompliGuide, LLC. Two enforcement actions this year involving senior executives of broker dealers which were discussed during my ...
                                     
                         
                            
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