FINRA Issues Organizational Deficiencies

Finra deficiences

FINRA recently issued Organizational Deficiencies in Web CRD to several member firms seeking corrections to responses provided in item 10A: Control Affiliates of Form BD. Question 10A reads: “Directly or indirectly, does applicant control, is applicant controlled by, or is applicant under common control with, any partnership, corporation, or other...

Read More

IAA Newsletter – Tips for Filing Form ADV: Annual Updating Amendments

form adv

It’s that time of year again when most Registered Investment Advisers are preparing their Annual Updating Amendments to Form ADV.  Please click below to read the article that was featured in the February 2019 issue of the IAA Newsletter. IAA_February19_2019_ComplianceCorner – Tips for Filing Form ADV: Annual Updating Amendments   Author: Megan...

Read More

The Big Data Privacy Paradox

big data

Before technology took over our lives and data started growing exponentially, the U.S. Postal Service was “the” Big Data processor and repository in North America and perhaps the world. To state that it is an institution of American life is obvious to the point of absurdity. While not known for...

Read More