Jim Reese, Acting Chief Risk and Strategy Officer for OCIE, joined both the SEC and OCIE in 1999 as an examiner in the Investment Adviser/Investment Company Program area. In his 18-year career, he has participated on more than 450 examinations and assisted on approximately 50 rule-making initiatives. In this webinar,...
Join us for an exploration into the world of Cybersecurity as we review a Compliance Officer’s Guide to what Regulators expect. Cybersecurity continues to be an area of focus for the SEC’s Office of Compliance Inspections and Examinations (OCIE), and FINRA. Today, financial firms of all sizes are under pressure...
In this webinar, we discuss the latest form of registration – the Capital Acquisition Broker or CAB. We describe the parameters of a CAB, what remains the same for your current Broker-Dealer, what changes from your current Broker-Dealer, what to be cognizant of, and the mechanics of registering with FINRA...
FINRA recently announced its national exam priorities for 2017. These priorities reflect the practices and products FINRA believes present the greatest heightened risks to investors. During this webinar, our experts will provide practical guidance and tips to assist your firm in responding to the release of the examination priorities.
The SEC's Office of Compliance Inspections and Examinations ("OCIE") recently announced its national exam priorities for 2017. This webinar will discuss OCIE’s new priorities for 2017, as well as continuing areas of focus from 2016.
Our goal is to help broker-dealer firms understand their annual requirements. This annual “check-up” is designed to help you make certain all your “i’s” have been dotted and “t’s” have been crossed. Our discussion reviewed year-end and early 2017 deadlines, required 2016 regulatory requirements, trending industry topics and recent FINRA and SEC priorities including cybersecurity.
Our goal is to help investment advisers understand their annual requirements. During this session we will discuss the following: Evaluate Compliance with 2016 Requirements, Review Year-End and Upcoming 2017 Deadlines, Discuss Trending Industry Topics and Recent SEC Priorities including Cybersecurity, Disclosure Effectiveness, Suitability of Recommendations, Privacy, Code of Ethics and Conflicts of Interest.
The DOL fiduciary rule will have a significant impact on many investment advisers and broker-dealers. This webinar addresses the following questions related to the DOL fiduciary rule:
- What investment advice and recommendations are covered under the rule?
- What communications are excluded under the rule?
- What qualifies as variable compensation?
- What are streamlined BICE requirements for level-fee fiduciaries?
- What business practices will my firm need to adopt to comply?
In addition, we’ll also outline how NCS Regulatory Compliance will work with its clients on DOL compliance solutions.
Our goal is to help broker-dealers and investment advisers understand their annual testing and examination requirements and to discuss other exams or testing firms should consider to prepare for a regulatory examination. Listen to our discussion where we cover the following topics: annual testing and examination requirements for BD and IA firms; new AML testing requirements for IA firms if FinCEN rule imposing AML requirements on IA firms becomes final; other examinations firms should consider; and reasons and benefits for having an independent review.