February 19, 2019.  The Washington Securities Division adopted amendments to Chapter 460-24A WA...

By David McNeal, Contributor of My Compliance Blog By Cory Roberson, Principal of FIN Compliance ...

By Cory Roberson, Principal at FIN Compliance and FIN Lancer July 11, 2018.  The SEC Office o...

By Cory Roberson, Principal at FIN Compliance and FIN Lancer We’ve received numerous inquiries for...

Financial penalties, jail time, damage to company’s reputation, and business disruptions are a few issues to name when it comes to the costs associated with regulatory noncompliance. Regulatory compliance requires all organizations to follow all relevant polices, laws, and guidelines. Compliance gives a firm’s clients the assurance they need to understand that the firm is operating properly. Violation of these statutes can lead to legal punishments including fines and jail time....