admin, Author at Master Compliance

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So far admin has created 438 blog entries.

28 09, 2017

Cybersecurity Breaches: Post SEC & Equifax Hacks, Firms Should Revisit Their Cybersecurity Program

By admin|2017-09-28T09:40:57-04:00September 28, 2017|Cybersecurity, Rules and Regulations|

Recently, two major cybersecurity breaches have been in the news [...]

27 09, 2017

By admin|2017-09-27T11:07:51-04:00September 27, 2017|Due Diligence, Mergers and Acquisitions|

Critical in every M&A transaction is a comprehensive due diligence [...]

24 09, 2017

By admin|2017-09-24T22:22:56-04:00September 24, 2017|Compliance Calendar, FINRA|

As we are approaching October 2017, it is a good [...]

21 09, 2017

By admin|2017-09-21T08:18:57-04:00September 21, 2017|Registered Investment Advisers, Registrations, SEC|

A registered investment advisor (“RIA”) is a person or firm [...]

20 09, 2017

By admin|2017-09-20T14:05:45-04:00September 20, 2017|NYSE|

All NYSE markets observe U.S. holidays as listed below for [...]

5 09, 2017

By admin|2017-09-05T16:29:58-04:00September 5, 2017|FINRA, Registrations|

The financial services industry is heavily regulated. In order to [...]

9 08, 2017

By admin|2017-08-09T15:15:24-04:00August 9, 2017|Rules and Regulations, SEC|

Rule 13h-1 helps the SEC identify and obtain trading information [...]

7 08, 2017

By admin|2017-08-07T15:30:44-04:00August 7, 2017|Registered Investment Advisers, SEC|

SEC Rule 206(4)-7 requires investment advisers to review, no less [...]

27 07, 2017

By admin|2017-07-27T12:25:46-04:00July 27, 2017|Broker-Dealer, FINRA, Rules and Regulations|

Established by FINRA, the Order Audit Trail System (OATS), is [...]

21 07, 2017

By admin|2017-07-21T15:22:12-04:00July 21, 2017|Broker-Dealer|

What is the difference between FinCEN and OFAC? Both organizations [...]