Regulation Best Interest: Examination Focus Areas
Last month, the SEC’s Office of Compliance Inspections and Examinations [...]
27
05, 2020
21
05, 2020
Form CRS: Initial Examination Guidance
The June 30th compliance deadline for Regulation Best Interest and [...]
6
05, 2020
Regulatory Exam Preparedness and COVID-19
Your firm is beginning to get in the groove since [...]
8
04, 2020
Compliance and COVID-19: Opportunities for Growth
The spread of the COVID-19 pandemic has presented challenges for [...]
3
04, 2020
Teleworking Considerations During COVID-19 Pandemic
Many financial service institutions have been hesitant to create teleworking [...]
16
03, 2020
SEC Enforcement Actions: Key Takeaways for 2020
Enforcement actions can be scary, especially if you or your [...]
27
12, 2019
Electronic Storage Requirements: Is Your Firm Ready to Go Paperless?
Is your small broker-dealer drowning in boxes and boxes of [...]
25
10, 2019
Fees and Expenses: 2019 SEC Examination Priorities
At the end of each calendar year, the Office of [...]
11
10, 2019
Best Execution: Compliance for Investment Advisers
Under the Investment Advisors Act of 1940 (the “Advisers Act”), [...]
20
09, 2019
Safeguarding Client Information
With the transition into the electronic storage of client data, [...]