OFAC Screening of Existing Clients and Third Parties
On July 6, 2016, the U.S. Department of the Treasury’s [...]
8
07, 2016
7
07, 2016
Business Continuity and Transition Plans for RIAs
The Securities and Exchange Commission (“SEC”) recently proposed a new [...]
6
07, 2016
Rick Control Assessment Surveys due July 20
Around June 1, 2016, active FINRA member firms should have [...]
5
07, 2016
AML-CIP Requirements for Private Placement Transactions
The world of private placement transactions is one that is [...]
5
07, 2016
FINRA Rule 4150: Assuming the Liabilities of Others
A broker-dealer, especially one that is not a member of [...]
30
06, 2016
FINRA Rule 2273: Recruitment Practices
FINRA has long been concerned with practices used by broker-dealers [...]
29
06, 2016
SEC Impersonators
On June 27, 2016, the Securities Exchange Commission (SEC) has [...]
28
06, 2016
Interim Restriction on Continuing Membership Application
The FINRA journey of changes in ownership and control for [...]
27
06, 2016
FINRA Scrutiny of Variable Annuities
Recently, the Financial Industry Regulatory Authority, Inc. (FINRA) has made [...]
24
06, 2016
AML Requirements for Investment Advisers
The U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) has [...]