Compliance News

October 2017 Newsletter

The October edition of our Newsletter covers a variety of topics. Beverly Fetcko reviews the areas broker-dealers should include in their Business Continuity Plan according to FINRA Rule 4370. Les Abromovitz discusses the SEC Office of Compliance Inspections and Examinations (OCIE) Risk Alert on the Advertising Rule. Our guest column this month is from Dan Klein, President and CEO of Sage Marketing, who discusses the importance of using social media to reach your clients.

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September 2017 Newsletter

Our September Newsletter focuses on cybersecurity after Equifax revealed a data breach that exposed 143 million American consumer’s sensitive personal information. Mark Alcaide discusses how the SEC expects firms to implement robust cybersecurity policies and procedures. Les Abromovitz reviews the SEC’s Office of Compliance Inspections and Examinations (OCIE) Risk Alert on cybersecurity.

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August 2017 Newsletter

In this addition of our monthly Newsletter, Les Abromovitz reveals the results from the 2017 Investment Management Compliance Testing Survey and discusses FINRA’s Regulatory Notice that strengthens controls on Registered Representatives and Broker-Dealers. Our guest columnist, Ric Lager, explains how he has combined old school methodology with social media technology to grow his RIA.

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