The Ultimate Solution for Compliance Management
It has been an exciting year for Securities Compliance Management [...]
8
09, 2023
23
06, 2023
Exam Observations for New Firms
In March 2023, the Securities and Exchange Commission (“SEC”) released [...]
20
06, 2023
FINRA Rule 3110 Amendment Proposals
The Financial Industry Regulatory Authority (“FINRA”) Rule 3110 gives explicit [...]
10
04, 2023
Cyber Security – Is the “Blind leading the Blind?”
As consultants, we can’t emphasize enough the importance of having a proactive cyber security program that is specifically tailored to protect disruption of critical systems as well as protection of sensitive data for both the firm and its customers.
15
11, 2022
Key Steps for Starting a Broker-Dealer
Individuals and companies desire to start a broker-dealer for many [...]
24
06, 2022
Merrill Mutual Fund Enforcement Lessons Learned
FINRA (Financial Industry Regulatory Authority) announced on June 2, 2022 [...]
4
02, 2022
Office of Supervisory Jurisdiction (OSJ)
An Office of Supervisory Jurisdiction (OSJ) is an office identified [...]
24
09, 2021
Website Reviews
Firms should have appropriately established controls for review, approval, and [...]
23
06, 2021
Gifts and Gratuities
Advisory representatives are prohibited from accepting anything of value that [...]
3
06, 2021
Material Changes to Form ADV
An investment adviser must promptly update its brochure if the [...]