SEC Publishes 2017 Annual Exam Priorities Letter

Last week, the SEC published its National Examination Priorities for 2017 letter. And while we are all waiting for more clues as to how the new administration will impact regulation, these priorities can be used today as a list of items to review internally. So take a look at your risk assessments, policies and procedures,… READ MORE

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Webinar Slides Available: Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

  On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  The DOL Rule has expanded the definition of fiduciary advice and has created the best interest contract exemption (BIC Exemption) as the primary… READ MORE

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Webinar Today! Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

  On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  Among the steps that firms should be taking are preparing education and training plans for advisors/representatives, staff and clients. Please join us for… READ MORE

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Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  Among the steps that firms should be taking are preparing education and training plans for advisors/representatives, staff and clients. Please join us for an… READ MORE

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Cross-Selling – Are You Prepared if Regulators Target More Firms?

FINRA recently sent a “sweep letter” to selected firms requesting the information about cross-selling incentives for broker-dealer employees.  These sweep letters and the information they request are often a roadmap showing how firms should be evaluating their Compliance Programs – in this case, around cross-selling incentives. What Should my firm be doing? Firms should review… READ MORE

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It’s Time for your Annual…Renewals: Don’t Forget to Fund your CRD/IARD Account

It’s that time again—the leaves have turned, football pools are in full swing, and FINRA has published its 2017 Renewal Calendar. December 16th is the deadline for Receipt of Preliminary Renewal Payment statements. December 27th is the last day to submit form filings prior to year-end. Web CRD and IARD are available from 5 a.m…. READ MORE

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AML and OFAC – Will Your AML Program Stand Up to Scrutiny?

It was announced in early November 2016 that $215 million will be paid to New York state by Agricultural Bank of China for engaging in “intentional wrongdoing,” including masking possibly suspicious transactions, at its New York branch. The New York State Department of Finance stated that some transactions involved parties subject to U.S. sanctions.  Red… READ MORE

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