Feb 2 2012 | 6:15am ET
On January 31, the SEC held an all-day conference to deliver a clear message: CEOs and senior management will be held responsible for creating, managing, and maintaining an effective control environment. Deborah Prutzman, CEO of The Regulatory Fundamentals Group, says that it is critical for asset managers to honestly assess the risks facing their firms and evaluate whether their business processes are sufficiently robust to protect investors, employees and their firms.
Mar 10 2014 | 11:33am ET
A huge thank you to all of the people who helped make last Thursday’s HFC NY Open Your Heart to the Children Benefit such a success. The charity gala raised nearly $2 million to prevent and treat child abuse in New York, New Jersey and Connecticut. Read more…