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Supervision (86)
Your search for Supervision returned 86 results.
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9/05/2019 | Content area: Broker-Dealer
FINRA has periodically enumerated concerns about the risk management practices of firms that provide direct market access to customers.    And periodi...
8/22/2019 | Content area: Broker-Dealer
Two more enforcement actions simultaneously announced by the SEC evidence the Commission’s continued focus on abusive practices in the handling of “pr...
8/01/2019 | Content area: Investment Adviser
Two cases within one week involving different regulators espouse the value of checking out staff and prospective employees. OCIE’s latest risk alert s...
7/23/2019 | Content area: Investment Adviser
OCIE encourages advisers, when designing and implementing their compliance and supervision frameworks, to consider the risks presented by hiring and e...
7/23/2019 | Content area: Investment Adviser
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. ...
7/18/2019 | Content area: Broker-Dealer
FINRA announced July 17 that its multi-year mutual fund fee waiver initiative has yielded settlements with 56 broker-dealers. The initiative has ultim...
7/11/2019 | Content area: Broker-Dealer
There is a price to pay for not enforcing your brokerage firm’s written supervisory procedures. Summit Brokerage Services WSPs stated that the upwards...
6/20/2019 | Content area: Broker-Dealer
A $42 million settlement announced June 14 by the SEC now represents the largest recovery ever against a broker-dealer in the Commission’s ongoing inv...
5/23/2019 | Content area: Investment Adviser
It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered I...
5/02/2019 | Content area: Broker-Dealer
When you are the named principal in your firm’s WSPs responsible for reviewing the suitability of your reps’ recommendations, claiming that you rely o...
3/14/2019 | Content area: Broker-Dealer
Nearly a year after being charged by the SEC with failing to supervise a registered rep alleged to have been involved in a long-standing pump-and-dump...
8/23/2018 | Content area: Investment Adviser
BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy di...
8/23/2018 | Content area: Broker-Dealer
The “red flags” at Interactive Brokers were waving for over three years.  Internal audit findings, along with “multiple” internal warnings from its cl...
6/28/2018 | Content area: Broker-Dealer
The 2011 integration of Wells Fargo and Wachovia triggered the adoption of a number of written compliance policies. One such policy prohibited Wells F...
6/14/2018 | Content area: Broker-Dealer
Flawed compliance and surveillance procedures can trip up even the largest of firms. Merrill Pierce, Pierce, Fenner & Smith makes the case. The dual r...
5/10/2018 | Content area: Private Fund
The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (P...
5/10/2018 | Content area: Broker-Dealer
Variable annuity exchanges continue to bedevil Fifth Third Securities. The Cincinnati-based brokerage firm has been hit with its second significant FI...
4/26/2018 | Content area: Broker-Dealer
FINRA wants to know if its rule requiring each registered rep and principal to participate in annual compliance meetings has furthered the supervision...
4/12/2018 | Content area: Broker-Dealer
A targeted FINRA examination sweep—the first announced by the SRO for 2018—will focus on broker-dealers’ supervisory controls tied to products linked ...
4/05/2018 | Content area: Broker-Dealer
A thirty-year tenure at a firm is rare these days and tends to gain the employee a certain amount of leeway.  But for Wedbush Securities that leeway a...


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