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1603, 2020

SEC Enforcement Actions: Key Takeaways for 2020

March 16, 2020|Categories: Broker-Dealer, Registered Investment Advisers, SEC|Tags: , , , , , |

Enforcement actions can be scary, especially if you or your Firm are named in the enforcement. For the rest of us, enforcement actions provide valuable information on patterns of misconduct, rule violations, and overall cautionary tales. […]

1103, 2020

Examination and Risk Monitoring: What to Expect in 2020

March 11, 2020|Categories: Broker-Dealer, Examinations, FINRA|Tags: , , , , , |

FINRA recently released a podcast called “What to Expect: The 2020 Exam and Risk Monitoring Program”. It provides a wealth of information from three members of the Member Supervision Senior Leadership on what to expect from the Examination and Risk Monitoring program in 2020. Here are a few highlights from [...]

603, 2020

Annual Compliance Meeting: A Retrospective Review

March 6, 2020|Categories: Annual Compliance Meeting, FINRA, Rules and Regulations|Tags: , , , , |

FINRA initiated a retrospective review of the annual compliance meeting (“ACM”) requirement in April 2018. The findings were published on October 18, 2019 in FINRA Regulatory Notice 19-34. Although the final assessment indicates that they are determined to maintain the ACM requirement without change, the Notice did provide additional guidance on [...]

303, 2020

Our Top Six Most Popular Blog Posts

March 3, 2020|Categories: Anti-Money Laundering, Broker-Dealer, Registered Investment Advisers|Tags: , , , , , , , |

MasterCompliance continues to provide clients and the public with guidance on industry focus areas, new rules, compliance foundations, and regulatory priorities. This blog explores our top six most popular blog posts. […]

2002, 2020

FINRA Disciplinary Actions from January 2020

February 20, 2020|Categories: Broker-Dealer, Fines, FINRA|Tags: , , , |

The Monthly Disciplinary and Other FINRA Actions report from January may provide a glimpse into the conduct by Firms and individuals that result in disciplinary proceedings. For Firms, a failure to evolve a program can be costly. For individuals, failure to disclose despite Firm-acknowledged requests may result in FINRA sanctions. [...]

1302, 2020

Annual Training Considerations for Broker/Dealers

February 13, 2020|Categories: Broker-Dealer, FINRA|Tags: , , , , , |

It’s 2020 and as the new year rolls in, so does annual training planning. Rule 3110(a)(7) requires each Registered Person to participate, at least annually, in an interview or meeting which discusses compliance matters relevant to their activities. […]

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