Lori A. Richards

  • Surviving the financial 'fix'

    By David Port  |  April 1, 2009

    Fundamental changes in financial market oversight appear imminent amid a prevailing sense of regulatory impotence, says Barry P. Schwartz, a partner at ACA Compliance Group,...

  • The Culture of Compliance

    By James Eccleston  |  April 1, 2007

    It hasn't taken long for the term "Culture of Compliance" to capture the hearts and minds of the securities regulators in this country. Born of...