A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review
A peer shares a template for auditing a branch office
A peer passes on a checklist the firm's B-D uses to inspect branch offices for compliance
A peer shares a copy of the FINRA exam letter that focused on Reg BI compliance
RCW has obtained a copy of OCIE's newly launched AML sweep exam
This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as “municipal advisory firms” or “firms,” unless ...
While both broker-dealers and investment advisers may be subject to a best interest standard of conduct, there are significant differences in the customer/client relationship covered
After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest
A peer shared this example of a policy and procedure for anti-money laundering
Form CRS or elationship summary.