Compliance News

April 2018 Newsletter

In the April 2018 edition of our newsletter, we discuss RIA sanctions,  procedures and systems broker-dealers have in place to try to detect, investigate and report suspicious activities; and our guest article by Dan Klein from Sage Marketing discusses why social media doesn’t mean secure media .

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Key Regulatory Developments Over the Past Year and Their Impact on Your Compliance Program

With the appointment of a new Chairman and leadership changes at its Division of Enforcement, 2017 has been a year of transition for the Securities and Exchange Commission (“SEC”). This article focuses on four key regulatory developments for investment advisers in 2017, including updates to Custody Rule requirements, Form ADV amendments, advertising developments, and the DOL fiduciary rule. Other key developments discussed are pay to play, private equity conflicts, robo-advice, fund share class selection, and cybersecurity.

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January 2018 Newsletter

In the January 2018 edition of our newsletter, we discuss compliance resolutions RIAs can make to improve their compliance programs and FINRA Rule 2210. Our guest article by Jeremy Solomon from Solomon Exam Prep, reviews the essentials of FINRA’s new Securities Industry Essentials exam.

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December 2017 Newsletter

In the December edition of our monthly newsletter,  we discuss how effective annual reviews can result in improvements to your compliance program in addition to benefits which transcend compliance. Our BD team shares a year-end compliance planning checklist as well as an entertaining short jingle about a CCO who didn’t plan well enough. Lastly, our guest article by Global Relay reviews how they combat Cybersecurity threats.

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November 2017 Newsletter

In this edition of our monthly Newsletter, Les Abromovitz explores how to handle clients who take their business elsewhere and the SEC’s latest initiative to fight cyber threats and protect retail investors. Our guest column this month is from Smarsh’s Corporate Counsel and Regulatory Advisor, Marianna Shafir, Esq., who discusses how failure to archive text messages can result in regulatory fines and suspension.

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