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Cloud computing is transforming how broker-dealers operate by providing opportunities
Exchange-traded funds definitely seem to be an industry darling these days, and some advisers to private, mutual funds and even separately managed accounts are courting ...
Other actions firms plan to take include to develop a detailed guidebook for staff containing compliance do’s and don’ts and to write new P&Ps governing ...
Frontier Wealth's reps failed to reasonably assess whether investments in a complex product were suitable for clients
This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing
Safeguards Rule P&Ps, implementation trip up eight firms
Each of the firms were charged with Regulation S-P violations
The email account takeovers resulted in the exposure of Cetera Entities’ customers’ PII stored in the compromised email accounts. None of the compromised email accounts ...
The pandemic has stretched the length of some exam calls, with some running up to five hours. Ask examiners ahead of a call what type ...
Compliance could benefit from checking the chairman's social media posts

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