Seeing continued “problematic” cybersecurity practices in its examination and risk monitoring program, FINRA has stepped in with a new report detailing “effective practices” it has ...
New rules from the SEC regarding advertising and fiduciary duty. A rougher economy and more stock market turbulence. Political upheaval. Tougher OCIE exams of advisers ...
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.” This adage could apply to ...
A new legal settlement – fining Barclays Bank $15 million – recounts the extraordinary steps the firm’s CEO took to try to unmask two whistleblowers. ...
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 ...
Haena Park showed so much promise. She couldn’t speak English when she moved to the U.S. at age 13 and yet graduated as valedictorian at ...
In a not-totally-unexpected move, the SEC is targeting advisers that may have placed clients in higher fee mutual fund share classes yet elected not to ...
If your CPO firm is dually-registered with the CFTC and the SEC, the new “guidance” from the National Futures Association will seem like old hat. ...
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 ...
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper disclosure ...