Disclosures and Attestations for Associated Persons
Associated person disclosures and attestations are not a “one size [...]
1
09, 2020
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 [...]
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 [...]
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 [...]