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RCW has obtained a copy of OCIE's newly launched AML sweep exam
After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
More on recommendations and also on making disclosures in Spanish
SEC “staff reminds broker-dealers that the term ‘investment strategy’ ... is to be interpreted broadly”
A peer shared this example of a policy and procedure for anti-money laundering
Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...
Form CRS or elationship summary.
Sideletter
Broker-dealers and dual registrants hoping to get right with the pending Reg BI deadline should put together a “conflicts inventory” and focus training on the ...
A “recommendation is always going to be viewed in hindsight, and it’s a very loose term”
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