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Risk Management (70)
Your search for Risk Management returned 70 results.
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11/29/2018 | Content area: Investment Adviser
The commencement of OCIE’s “Cyber 3” initiative (IA Watch, March 27, 2018) is expected at any time now, but the specter of being caught in a regulator...
3/01/2018 | Content area: Broker-Dealer
FINRA is looking to move on a single streamlined rule addressing the outside business activities and private securities transactions of broker-dealers...
12/21/2017 | Content area: Broker-Dealer
Cybersecurity is one of the top risks facing broker-dealers, according to a new report on FINRA examination findings released Dec. 8 by the SRO (BD Wa...
11/09/2017 | Content area: Investment Adviser
Evidence supports delaying the SEC’s liquidity risk management program rule and its related reporting requirements at least one year would be appropri...
11/09/2017 | Content area: Broker-Dealer
With the scale and scope of cyber attacks increasing, front-line staffs are scrambling to not only keep the bad guys out, but keep up with growing reg...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
4/04/2017 | Content area: Investment Adviser | Private Fund
This is a matrix for an enterprise risk management structure within a firm, courtesy of Fred Shane, chief risk officer at Commonwealth Financial Netwo...
4/04/2017 | Content area: Investment Adviser | Private Fund
3/30/2017 | Content area: Broker-Dealer
The hits keep coming for Samuel Lek and his embattled New York-based broker-dealer Lek Securities. FINRA and a slew of exchanges announced March 27 th...
3/12/2017 | Content area: Investment Adviser
Click here to open a sample risk assessment matrix contributed by one of your peers.
2/23/2017 | Content area: Broker-Dealer
At the beginning of the year, FINRA signaled in its 2017 examination priorities letter that it has enhanced its risk-based surveillance and examinatio...
10/13/2016 | Content area: Investment Adviser
Sweeping reforms aimed at enhancing transparency and modernizing reporting requirements for mutual funds, exchange-traded funds and other registered c...
5/26/2016 | Content area: Investment Adviser
Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address at th...
3/23/2016 | Content area: Investment Adviser
Like many SEC-registered investment advisers, the Commission itself has no shortage of key information technology initiatives it would like to pursue....
3/03/2016 | Content area: Broker-Dealer
Internal audit is back on the list of FINRA exam priorities this year with a focus on organization and governance. But what if you are a small firm an...
3/01/2016 | Content area: Investment Adviser
Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va., shares a copy of her firm's AML risk assessment.
1/13/2016 | Content area: Investment Adviser
Cyber-attacks against financial institutions to extort payment in return for the release of sensitive information are on the rise (IA Watch, Nov. 19, ...
10/07/2015 | Content area: Broker-Dealer
Look for recommendations related to funds’ use of derivatives to be advanced by the SEC by year-end. In a Sept. 29 address in celebration of the 75th ...
9/17/2015 | Content area: Broker-Dealer
Ever since the 2008 financial crisis FINRA has made understanding how broker-dealers plan for and manage liquidity risk a priority.  After a year-long...
7/01/2015 | Content area: Broker-Dealer
When senior SEC officials call out the critical importance of broker-dealers’ anti-money laundering programs it’s time to pay attention. This time the...


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