RIA Branch Audit Planning
Investment advisers should consider the need to perform a branch [...]
21
04, 2021
16
04, 2021
Form ADV Part 2B: Disclosures for Supervised Persons
Form ADV Part 2B is a brochure supplement that must [...]
11
03, 2021
Cybersecurity Training for Employees
The Covid-19 Pandemic has affected everyone, forcing many to work [...]
11
03, 2021
COVID-19 and Fixed Income Update
FINRA Rule 2232 requires firms to provide retail customers with [...]
10
02, 2021
FINRA Rule 3241: Registered Person as Customer’s Beneficiary
On October 29, 2020 FINRA released a regulatory notice detailing [...]
30
10, 2020
Supervisory Control: The Basics of Rule 3120
Most broker-dealers are aware of their annual requirement to test [...]
28
10, 2020
Supervision of Supervisory Personnel
FINRA Rule 3110 provides the requirements for building and maintaining [...]
1
10, 2020
AML and Branch Audits in the Time of COVID-19
At the beginning of the year, FINRA released important updates [...]
16
06, 2020
Annual Certification of Compliance Processes
FINRA Rule 3130 serves as an annual requirement to focus [...]
15
05, 2020
Disciplinary Actions by FINRA: April 2020
FINRA publishes a monthly review of disciplinary actions taken against [...]