FINRA Audit Preparation
For the broker dealer, there are a few things that [...]
8
06, 2023
5
06, 2023
The Chief Compliance Officer
As with all career choices, there are some vital pieces [...]
31
05, 2023
Communication Recordkeeping in the Day of the Hybrid Workforce
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]
23
05, 2023
Outsourced Compliance
Are there times when as a Financial Industry Regulatory Authority [...]
18
05, 2023
Becoming a Registered Broker Dealer
When a firm makes the decision to become a registered [...]
2
05, 2023
Customer Identification Program “CIP”
Broker Dealers are faced with a number of demanding rules and regulations in the financial industry today.
21
04, 2023
Annual Audit Season
When a broker dealer hears the words “annual audit season”, [...]
10
04, 2023
Cyber Security – Is the “Blind leading the Blind?”
As consultants, we can’t emphasize enough the importance of having a proactive cyber security program that is specifically tailored to protect disruption of critical systems as well as protection of sensitive data for both the firm and its customers.
19
12, 2022
Financial Reporting for Broker Dealers
Financial Reporting for Broker Dealers. When you decide to enter [...]
15
12, 2022
FINRA OFAC Search Tool Retiring
Financial Industry Regulatory Authority (“FINRA”) provides an OFAC search tool [...]