On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC’s Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers.
When a regulator shows its hand, take it seriously—a poignant lesson that one is wise to heed. At the end of January, the Securities and Exchange Commission (“SEC”) released a Risk Alert entitled ‘Observations from Broker-Dealer Examinations Related to Regulation … Read More
By: Suzette Hagan, Compliance Consultant, & Christopher Hufty, Compliance Consultant In today’s electronically connected world, more and more exchanges are happening online, in terms of both sensitive information and currency. Be it communication through social media platforms, mobile applications, email, … Read More
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read More
On March 29, 2021, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (“EXAMS”) issued a Risk Alert citing frequent shortcomings found in compliance reviews of Anti-Money Laundering (AML) reporting at broker-dealer and mutual fund firms. Find the Risk … Read More
For our first CCO Buzz episode of 2021, Senior Compliance Consultant and Compliance Analyst help us unpack the best methods for jump-starting your compliance program in 2021.
The global COVID-19 pandemic has changed the way many of us live, work, and invest. Trading activity in global and domestic markets spiked last year, partly as a result of the added time millions spent at home to avoid exposure … Read More
Closing out our short series of suggested focus areas for 2021, this blog post focus on the overall theme of the SEC’s Division of Enforcement’s Annual Report. Over the course of 2020, the industry has tried to navigate through unknown … Read More
IAA’s Compliance Workshop 2020 | December 3, 2020 @ 9:30am to 1:00pm PT | Speakers: Michelle L. Jacko
This year will certainly be one for the history books. The worldwide pandemic continues to impact our country and the way we live. For the financial industry, we have witnessed evolutions and changes of focus in regulatory examinations.