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The typical SEC examination will reveal some compliance deficiencies or internal control weaknesses at the firm. When the firm’s compliance or internal control failures are deemed serious, such as when investor funds or securities are believed to be at risk,...
Learn MoreCybersecurity SEC Enforcement Action On 9/26/2018 the Securities and Exchange Commission charged Voya Financial Advisors, Inc. (‘VFA”), with violating the Safeguards Rule and the Identity Theft Red Flags Rule, which are designed to protect confidential customer information and protect customers…
Read MoreWhy, who’s asking? Many cannabis-related businesses are in need of assistance with their fundraising efforts to expand their operations. Therefore, broker-dealers ask our Consultants more and more whether they can safely provide investment services to prospective customers in the cannabis…
Read MoreI recently spoke at the IA Watch/Regulatory Compliance Watch compliance conference in Philadelphia sponsored by Simplify Compliance, where the discussion turned to firms’ tone at the top. “Tone at the Top” is a term that describes a firm’s management and…
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