Archive for October 2017

Detecting, Preventing & Investigating Fraud and Misappropriation

Elin is the CEO of Elinphant a financial compliance services firm. Elin ensures compliance officers who serve clients are skilled and knowledgeable in relation to the clients business and needs. Elin is known for looking at compliance challenges as well as marketing and sales in an innovative and direct manner.Read More

FRAUD: Books & Records

Books and Records or lack thereof have become a focal point for regulators. Whether FINRA, SEC or MiFID II the requirements have become prescriptive. Audit trails are detailed; regulators utilize the audit trails to identify market patterns and fraud; these audit trails are required to be maintained as Books and Records. In the US, the…Read More