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Vega Compliance Consulting
  • Home
  • About Us
  • Case Summaries
  • 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
  • Appointment
info@vegacompliance.com +1 929 459 3680
Vega Compliance Consulting

Risk and Compliance Expert

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

  • investment banking registration
    Investment Banking Registration: An Essential Guide for Boutique Firms
    22 October 2025
  • Pig Butchering Scam
    The Pig Butchering Scam: Anatomy of a Modern Financial Crime & How to Ensure Compliance
    19 October 2025
  • Red Flags of a Ponzi Scheme
    10 Red Flags of a Ponzi Scheme at Your Bank or Broker
    13 October 2025

Recent News

  • EU’s Bold Move: New Sanctions Package Targets Russia, Striking Hard
    05 August 2025
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