Code of Ethics Concerns During COVID-19 and Beyond
COVID-19 has bought a “new normal”. From stay-at-home orders and [...]
26
06, 2020
18
06, 2020
Third-Party Outsourcing Best Practices
Complete reliance on third-party outsourcing may negatively impact your compliance [...]
16
06, 2020
Annual Certification of Compliance Processes
FINRA Rule 3130 serves as an annual requirement to focus [...]
11
06, 2020
Compliance Surveillance Trends During COVID-19
The messages are clear. Sales practice concerns, fraud, and operational [...]
8
06, 2020
Benefits of Purchasing a Broker-Dealer
MasterCompliance has been assisting clients with the purchase or sale [...]
28
05, 2020
Benefits of Starting a New Broker-Dealer
Since 2003, we have been assisting firms with starting new [...]
27
05, 2020
Regulation Best Interest: Examination Focus Areas
Last month, the SEC’s Office of Compliance Inspections and Examinations [...]
21
05, 2020
Form CRS: Initial Examination Guidance
The June 30th compliance deadline for Regulation Best Interest and [...]
15
05, 2020
Disciplinary Actions by FINRA: April 2020
FINRA publishes a monthly review of disciplinary actions taken against [...]
6
05, 2020
Regulatory Exam Preparedness and COVID-19
Your firm is beginning to get in the groove since [...]