Gifts, Gratuities, and Non-Cash Compensation Rules
In December 2014, FINRA published a report on its review [...]
16
08, 2016
15
08, 2016
About Us: Full-Service Compliance Consulting Firm
Securities Compliance Management, Inc., also doing business as MasterCompliance, is [...]
5
08, 2016
Loss of Key Personnel: How to Prepare
The loss of key personnel can have a devastating effect [...]
30
07, 2016
Pay-to-Play Rule Applies to Trump’s VP Pick
SEC-registered investment advisers are taking a closer look at their [...]
6
06, 2016
Department of Labor Fiduciary Rule
A recently approved rule from the Department of Labor (“DOL”) [...]