Examinations

The focus areas for the DOE's exams tied to digital assets going forward are revealed

The DOE report tips its hat to CCOs, recognizing that “compliance programs, CCOs and other compliance staff play critically important roles at firms” and provides ...

Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...

At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...

“You’ll see it’s all a show,” Monty Python tells us, “Keep ’em laughin’ as you go/ Just remember that the last laugh is on you.” ...

The SRO flags 18 priority focus areas grouped into firm operations, communications and sales, market integrity, and financial management

Large-volume investment advisers and broker-dealers should take a fresh look at their compliance manuals and policies and procedures to make sure they’re getting right with ...

The pandemic conditions necessitating the original extension "persist and in fact appear to be worsening"

Lesson: Communicate with the entire team. Some examiners may be left out of the communications chain given they’re all working virtually

Keep your documentation of employee compliance training. Examiners asked for it, as well as a list of all principal transactions, cross trades and any loans ...