Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
BROKER-DEALER NEWS & GUIDANCE
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...
3/08/2019 | Content area: Broker-Dealer
With an April 1 deadline nearing, the window of opportunity to take advantage of FINRA’s self-reporting initiative for 529 plans is rapidly closing (B...
2/28/2019 | Content area: Broker-Dealer
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultim...
2/28/2019 | Content area: Broker-Dealer
A year after FINRA proposed an ill-fated overhaul, regulation of outside business activities and private securities transactions seems to be back with...
2/21/2019 | Content area: Broker-Dealer
FINRA is warning brokerage firms to keep an eye out for a fraudulent “phishing” e-mail scheme aimed at compliance personnel. An e-mail making the roun...
2/14/2019 | Content area: Broker-Dealer
It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling...
2/13/2019 | Content area: Broker-Dealer
In recent years, OCIE has conducted 75 exams of transfer agents and now the grades are in.   OCIE’s latest risk alert sums up what troubled examiners ...
2/07/2019 | Content area: Broker-Dealer
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the ...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
1/24/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...
1/24/2019 | Content area: Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
1/17/2019 | Content area: Broker-Dealer
How serious are authorities about anti-money laundering compliance?   Serious enough to file the first-ever criminal charge against a broker-dealer fo...
1/10/2019 | Content area: Broker-Dealer
Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailin...
1/10/2019 | Content area: Broker-Dealer
Where we last left the legal challenge by Alpine Securities Corp., the clearing broker was contesting a judge’s ruling that the SEC has legal authorit...
1/10/2019 | Content area: Broker-Dealer
The warning system at Cetera Advisor Networks flashed red: a highly productive rep appeared to be engaged in questionable trading.   Hundreds of elect...
1/02/2019 | Content area: Broker-Dealer
Gauging the talents of newly qualified reps is never easy. Now, FINRA has taken a step that may make the exercise even more daunting.   The SRO has qu...
12/20/2018 | Content area: Broker-Dealer
Failures in the anti-money laundering programs of UBS Financial and UBS Securities have resulted in triple jeopardy for the firms and a total of $15 m...
12/20/2018 | Content area: Broker-Dealer
For the second year running, FINRA has flagged issues its examiners are finding with broker-dealers’ anti-money laundering programs. The SRO’s 2018 Re...
12/20/2018 | Content area: Broker-Dealer
FINRA has again delivered an early holiday present for the brokerage industry in the form of the SRO’s 2018 Report on Examination Findings. The second...
12/13/2018 | Content area: Broker-Dealer
Thinking about hiring a FINRA employee? You might want to think again.   The SRO is tightening conflict of interest rules for ex-officers and other fo...
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