Blog
SEC May Change Climate Risk Disclosure Requirements | Industry Pushback
News & Alerts Brief Introduction In 2022, the SEC proposed new disclosure requirements related to climate change risk for firms. They argue that firms should be required to […]
Read MoreFirm Fines Employees for Unauthorized Whatsapp Use
News & Alerts Brief Introduction A well known large firm recently issued fines of up to $1 Million to some of its employees for using unapproved mobile messaging […]
Read MoreFINRA Releases 2023 Risk Monitoring Report | 4 Key Topics
News & Alerts Brief Introduction On January 10th, FINRA published a report for 2023 to help firms strengthen their compliance programs. The report covered twenty-four topics, with new topics […]
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 MoreSEC Chair Provides Comments on the SEC’s Agenda
Brief Introduction SEC Chair, Gary Gensler, made multiple comments during a 30-minute discussion with IAA CEO, Karen Barr, that gave insight into the SEC’s agenda for the industry’s regulatory environment. […]
Read More$200 Million Fine for Misuse of Personal Devices
Brief Introduction On July 14th, a well-known investment bank announced that it expects to pay a $200 million dollar fine because of its unapproved usage of […]
Read MoreEXAMS Issues Reminder For The Marketing Rule Compliance Date
Brief Introduction On Monday, May 23rd, the Division of Examinations (“EXAMS”), sent out an email reminder to all SEC RIAs reminding them about the compliance date for […]
Read More