Blog

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 More

SEC 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 More

Prepare 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 More

JPMorgan 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 More

FINRA 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 More

Compliance 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 […]

Read More