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RIAs Understand the Importance of Compliance to Their Success
NEWS AND ALERTS Brief Introduction In a recent article by InvestmentNews, RIAs throughout the industry report on the importance of compliance to their success. At […]
Read MoreSEC Commissioner Peirce Comments On SEC Agenda
News & Alerts Brief Introduction SEC Commissioner Hester Peirce commented on a host of issues during a CFA Society of Washington’s annual dinner. Peirce had a […]
Read MorePrepare for More On-Site SEC Exams in 2023
News and Alerts Brief Introduction The Deputy Director of the SEC Division of Examinations has verbalized the intention to significantly increase the number of On-Site Examinations for the year, […]
Read MoreJPMorgan Bans Employees from Use of Certain AI Technology
News and Alerts Brief Introduction As compliance headaches continue to arise over the use of third-party communications software, JPMorgan joined other companies in banning the use of third-party AI […]
Read MoreFINRA Fines Well Known Brokerage Firm $1.1 Million For Phone Record Failures
News & Alerts Brief Introduction FINRA fined a well known Brokerage Firm in December for failing to properly disclose their record keeping policies and promptly alert FINRA […]
Read MoreCompliance Date Reminder | New SEC Rule 2a-5 on Good Faith Determination of Fair Valuation
Who Does This Rule Apply To? The New SEC Rule 2a-5 of the Investment Company Act of 1940 applies to all Registered Investment Companies & Business Development Companies […]
Read More$200 Million Fine Over Employee Text Messages | News & Alerts
News & Alerts According to a Wall Street Journal article written on Monday, December 13th, a well known Investment Banking Company is working towards the […]
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