Broker-Dealers

FINRA examiners looking at how firms are complying with the new Suitability and Know Your Customer rules are particularly interested in the customer profile information ...

An independent test of your firm's AML program should involve rigorous interviews of employees who work in that space to determine whether they know their ...

A division of the Commodity Futures Trading Commission is narrowing the anti-pay-to-play provisions that apply to swap dealers so that they're similar to the MSRB ...

FINRA and the Commodity Futures Trading Commission are trying to find out what worked and what didn't with the business continuity plans of firms affected ...

OCIE only examined 8% of RIAs between October 2011 and September 2012, coming up short of its goal of 9%, according to a new report. ...

FINRA last month sent out a targeted sweep letter to see how firms are complying with rule 5320, which prohibits trading ahead of customers' orders.Regulators ...

When it comes to compliance giving its input on designing and testing IT changes, you might want to consider these tips from Marshall Levin, a ...

The SEC last week announced settlements with two different investment adviser firms over allegations that they impeded examinations by Commission staff.In one instance, the Commission ...

The story repeats so often throughout history that it qualifies as a Greek tragedy: A boss with unlimited power gets questioned by compliance staff, so ...

Compliance needs to be involved - and listened to - when your firm gets new systems, or changes the ones it has, so that the ...