Carl Ayers
Altschuler failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm regarding ...
Canton Hathaway failed to comply with the Requirements by its regulatory deadlines, and began complying only after the Division of Examinations (“EXAMS”) contacted the firm ...
The substituted compliance framework reflects the cross-border nature of the security-based swap market, and is intended to promote efficiency and competition by helping to address ...
At least annually ask the subadviser to complete a compliance questionnaire, that captures monthly and quarterly data on performance and asks if the subadviser remains ...
"If, as has sometimes happened in the SEC’s, FINRA’s, and other regulators’ enforcement actions, when a firm violates the law, the regulatory consequences fall in ...
The ruckus stirred by the Robinhood fiasco earlier this year also exposes a risk for compliance officers. Could your access persons evade your personal trading ...
Your job overseeing staff personal trades has grown more challenging with so many new trading apps hitting the marketplace. Here are some you may wish ...
Tips for monitoring staff trading, Driscoll to leave SEC, defendants plead out and much more
The most embarrassing evidence examiners uncovered was firms that prohibited such trades yet were unaware that “these trades had occurred.” The risk alert encourages best ...
Examiners found deficiencies related to inadequate disclosures and compliance programs that failed to measure up. For instance, some advisers didn’t monitor “the trading activity in ...