WGK Compliance And Regulatory Consulting Group Presented The FSI Webinar: Preparing For The Implementation Of The Revised Form ADV

Dionne Fajardo and Trisha Cram presented a webinar to Financial Services Institute members on August 31st titled “Don’t Get Caught Flat-Footed; Preparing for the Implementation of the Revised Form ADV.”[…]

Findings and Best Practices from the SEC on Creating an Effective Cybersecurity Program

It is no secret that cybersecurity has been a hot topic with regulators. Everyone, including the Securities and Exchange Commission (SEC), FINRA, and state regulators, has been taking a look into cybersecurity and how firms are protecting client data[…]

Trisha L. Cram Joins Wiand Guerra King P.A.’s Compliance and Regulatory Consulting Group

Trisha L. Cram has joined the law firm of Wiand Guerra King as a Senior Regulatory Consultant in the Compliance and Regulatory Consulting Group[…]