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Vega Compliance Consulting
  • Home
  • About Us
  • Case Samples
  • Services
    • Expert Witness
      • Litigation Support Expert Witness
      • Investment Banking Expert Witness
      • Corporate Governance Expert Witness
      • Risk Management Expert Witness
      • Financial Services Expert Witness
      • Compliance Expert Witness
      • Supervision Expert Witness
    • Consulting
      • Compliance Consulting Services
      • Outsourced Chief Compliance Officer
  • Testimonials
  • Resources
    • Blogs
    • Featured in the Press
    • News Insights from VEGA
  • Events
  • Appointment
info@vegacompliance.com +1 929 459 3680
Vega Compliance Consulting

Blog

investment banking registration
October 22, 2025Mike-EvansNo Comments

Investment Banking Registration: An Essential Guide for Boutique Firms

In the fast-paced financial landscape, boutique investment banks and independent advisors deliver sharp insights, deep expertise, and personalized service. Still, this entrepreneurial drive has to

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Pig Butchering Scam
October 19, 2025Mike-EvansNo Comments

The Pig Butchering Scam: Anatomy of a Modern Financial Crime & How to Ensure Compliance

As the world of financial crimes continue to evolve, a new and brutal threat has emerged from the shadows – the Pig Butchering Scam. The

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Red Flags of a Ponzi Scheme
October 13, 2025Mike-EvansNo Comments

10 Red Flags of a Ponzi Scheme at Your Bank or Broker

We trust financial institutions to safeguard our money, believing they deliver safety, steady growth, and the comfort of knowing our hard-earned funds are secure. But

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Understanding Suitability Rules: FINRA, SEC, Complex Structured Products
September 30, 2025Mike-EvansNo Comments

Understanding Suitability Rules: FINRA, SEC, Complex Structured Products

Let’s be real: the landscape of structured products can feel like a puzzle. They creatively challenge the skills of compliance officers like us each day,

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Recent Blog

  • benefits of a certified fraud examiner expert witness in litigation
    Benefits of a Certified Fraud Examiner Expert Witness in Litigation
    09 January 2026
  • the role of independent hedge fund boards in governance
    The Role of Independent Hedge Fund Boards in Governance
    17 December 2025
  • how strategic leaders prevent regulatory compliance failures and litigation
    How Strategic Leaders Prevent Regulatory Compliance Failures and Litigation
    25 November 2025

Recent News

  • FINRA Rule 3290: Future-proofing policies, procedures, and litigation risks
    21 January 2026
  • EU’s Bold Move: New Sanctions Package Targets Russia, Striking Hard
    05 August 2025
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