Regulation S-P: Possible Compliance Weaknesses
SEC Risk Alerts are helpful tools that notify broker-dealers and [...]
5
10, 2020
1
10, 2020
AML and Branch Audits in the Time of COVID-19
At the beginning of the year, FINRA released important updates [...]
29
09, 2020
Best Execution Violation Takeaways
Disciplinary actions are often the best way to answer questions [...]
24
09, 2020
FINRA Continuing Membership Application (“CMA”)
When a broker-dealer implements a significant change in the strategies [...]
15
09, 2020
Cybersecurity in the Time of COVID-19
For many firms, a remote workforce is now a new [...]
1
09, 2020
Disclosures and Attestations for Associated Persons
Associated person disclosures and attestations are not a “one size [...]
17
08, 2020
The Importance of Form U4 Disclosure Updates
Failure to timely update information on an individual form U4 [...]
30
07, 2020
Mid-Year Compliance Budget Planning
Reviewing your current mid-year compliance budget plan and adjusting for [...]
14
07, 2020
FinCEN 314(b) Program FAQs
Our previous blog post focused on FinCEN’s 314(a) program and [...]
1
07, 2020
FinCEN 314(a) Program FAQs
The Financial Crimes Enforcement Network (FinCEN) is a service driven [...]