We are always proud when one of our own clients has news to share – because our clients’ success is our success. We’re especially happy to announce that RICS has successfully deployed its RICS Regulatory Change Management SystemTM for Oppenheimer for its branch audit process. The system monitors change, alerts the organization to risk conditions, and enables accountability and collaboration around changes that impact the firm. This requires a common process to provide real-time accountability and transparency across regulatory areas. The RICS team is thrilled to partner with Oppenheimer, and they are very proud of their expertise in this space. 

RICS was founded by former regulators and industry compliance professionals. This strategic consulting firm specializes in compliance services for the securities industry. The firm has solid relationships with industry regulators and extensive experience in a wide range of issues.

To learn more about Nicoll Davis & Spinella LLP, please call 201-712-1616 or visit us online.