The SEC’s Division of Examinations third risk alert of the year reminds advisers to include their branch offices in their compliance P&Ps, especially those designed ...
Firms should consider their entire organization, including branch offices, when implementing written policies and procedures for the safeguarding of customer records and information to ensure ...
Blame another regulatory change on the pandemic. The NFA has revised its rule regarding reporting branch offices on Form 7-R because of the continuing turmoil ...