Conquering Current Compliance Challenges
Oct. 9, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: Sept. 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
BROKER-DEALER NEWS & GUIDANCE
9/12/2019 | Content area: Broker-Dealer
It’s no secret that the self-regulatory organizations developing the Consolidated Audit Trail have missed a slew of milestone completion dates (BD Wat...
9/12/2019 | Content area: Broker-Dealer
Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators an...
9/05/2019 | Content area: Broker-Dealer
Deficient trading reviews conducted by an inexperienced and untrained compliance associate has led to SEC charges that a New York-based broker-dealer ...
9/05/2019 | Content area: Broker-Dealer
Citing concern about potential conflicts of interest and inadequate training, FINRA has issued new guidance detailing when firms are obligated to regi...
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...
8/29/2019 | Content area: Broker-Dealer
A Russia-based research and rating firm has been charged by the SEC with failing to disclose that it was compensated by certain worldwide issuers whos...
8/22/2019 | Content area: Broker-Dealer
When does a customer account fee become unreasonably excessive? Does FINRA have a role in monitoring such fees, especially among consenting profession...
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...
8/22/2019 | Content area: Broker-Dealer
FINRA is trying to make it easier than ever for firms to get credit for what it considers “extraordinary cooperation.” Perhaps the best evidence that ...
8/15/2019 | Content area: Broker-Dealer
In a potentially worrisome case for compliance officers, the SEC found that the former CCO of Merrimac Corporate Securities had violated FINRA rules b...
8/15/2019 | Content area: Investment Adviser | Broker-Dealer
The SEC Aug. 15 released a series of videos aimed at educating retail investors on the differences between investment advisers and broker-dealers in a...
8/15/2019 | Content area: Broker-Dealer
There’s no mistaking that the protection of senior investors remains a top priority for FINRA. At the start of the year, the SRO flagged the protectio...
8/08/2019 | Content area: Broker-Dealer
FINRA, in its 2019 exam priorities letter, expressed concern about self-dealing behavior by reps acting as fiduciaries (BD Watch, Jan. 24, 2019). The ...
8/08/2019 | Content area: Broker-Dealer
Issuance activity in foreign sovereign debt securities has accelerated “substantially” in recent years and FINRA is moving to secure information on wh...
8/08/2019 | Content area: Broker-Dealer
A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients t...
8/01/2019 | Content area: Broker-Dealer
Background checks are a critically important tool in the arsenal of firms serving as gatekeepers to protect their firm’s investors from “bad actors.” ...
8/01/2019 | Content area: Broker-Dealer
The potential liability of compliance officers may be waning, but there are still some egregious cases where mischief leads to deep trouble for a comp...
8/01/2019 | Content area: Broker-Dealer
The SEC has upheld a FINRA panel’s decision to suspend the CCO of a Syosset, New York-based broker-dealer for four months for failing to disclose a pa...
7/25/2019 | Content area: Broker-Dealer
It’s not news that getting a client to loan you money or becoming a beneficiary of his or her estate is almost always a sure route to trouble. But, ev...
7/25/2019 | Content area: Broker-Dealer
FINRA still wants to hear if your firm has any current or planned activities tied to digital assets, including cryptocurrencies and other virtual coin...
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