Updates to Form CRS in 2020 (Part 1)
The SEC released updates to Form CRS in 2020 with [...]
19
01, 2021
4
11, 2020
Investment Advisers Act: Know the Rules or Pay the Price
Knowing firm requirements as set forth in the Investment Advisers [...]
15
10, 2020
Why Small Firms Need Compliance Program Assessments
With the rise in new regulations, small firms generally experience [...]
5
10, 2020
Regulation S-P: Possible Compliance Weaknesses
SEC Risk Alerts are helpful tools that notify broker-dealers and [...]
30
07, 2020
Mid-Year Compliance Budget Planning
Reviewing your current mid-year compliance budget plan and adjusting for [...]
26
06, 2020
Code of Ethics Concerns During COVID-19 and Beyond
COVID-19 has bought a “new normal”. From stay-at-home orders and [...]
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 [...]
27
03, 2020
BCP and COVID-19: Considerations for Firms
Many financial service firms have written supervisory procedures in place [...]
16
03, 2020
SEC Enforcement Actions: Key Takeaways for 2020
Enforcement actions can be scary, especially if you or your [...]