Cryptocurrency Fraud Runs Rampant
Crypto criminals are having a big year, according to the Silicon Valley-based cybersecurity firm CipherTrace.
Despite Potential Delays and Changes, Firms Should Begin implementation of REG BI Compliance
The Securities and Exchange Commission (SEC) issued its final decision on its three-part reform package last month, featuring the Regulation Best Interest (REG BI). The regulation will require broker-dealers to increase their disclosures and act in their client’s best interest … Read More
CFP Moves Forward with Revised Code of Ethics, Extends Enforcement Date to June 2020
The Certified Financial Planners (CFP) Board of Standards, Inc. released its revised Code of Ethics and Standards of Conduct last year. The most significant change under the new standards is that now all CFP professionals, including broker dealers, must adhere … Read More
NSCP National Conference 2019 | Supporting Women in Compliance
October 21, 2019 | Baltimore, MD | Speaker: Michelle L. Jacko, CSCP, CEO
SEC Approves Four-Part Rules Package
On June 5, 2019, the Securities and Exchange Commission (SEC) approved a four-part investment advice reform package containing new rules that govern conduct, forms, and interpretations for investment advisers and broker-dealers.
Broker-Dealer Annual Compliance Meeting Best Practices
Planning for the Task As the summer solstice approaches, now is a good time for broker-dealer compliance personnel to begin planning for the annual compliance meetings (“ACMs”), required under FINRA Rule 3110(a)(7). Specifically, each registered representative and registered principal of … Read More
OCIE Identifies Compliance Shortcomings Regarding Privacy Notices and Safeguard Policies (Regulation S-P)
Through their examination process, the Office of Compliance Inspections and Examinations (OCIE) has uncovered a number of compliance concerns pertaining to Regulation S-P, the Securities and Exchange Commission (SEC) regulation that defines requirements for privacy notices and safeguard policies that … Read More
Episode 49: Best Execution – Is Your Review In Line With SEC Expectations?
On episode 49 discuss the frequently cited deficiencies cited during routine exams, surround the importance of best execution reviews.
NSCP Webinar: Cybersecurity Risks You May Not be Considering
July 9, 2019 @ 11 AM PST/ 2:00 PM EST
Episode 48: SAA Certification
On episode 48 we discuss the upcoming SAA deadline for Registered Investment Advisers and Broker-Dealers.