Your firm’s FINOP is specifically responsible for financial filings and books and records related to those filings. However, not all registered FINOPs have the appropriate experience to do the job effectively. The regulatory rules for broker-dealers are complex. FINOPs must have, in addition to the Series 27 license, enough experience in the industry and knowledge… READ MORE
Join our complimentary webinar Wednesday, May 19th The Art of Marketing In A Changing Regulatory Environment Expert Insights into SEC’s Updated Advertising Rule 206(4)-1 Our panel of industry experts and former regulators will discuss: Where will the regulatory focus be What other firms are doing now Why are certain distribution methods being chosen over others… READ MORE
After more than half a year since the implementation of Reg BI, it is the expectation that firms have instituted or enhanced their policies and procedures enabling the necessary point of sale application of the “Reasonably Available Alternatives” standards, required under the Care provision of Reg BI. Unfortunately, in their efforts to comply in a… READ MORE
Environmental, Social and Governance (“ESG”), Socially Responsible Investing (“SRI”), Sustainable Development Goals (“SDG”), are similar approaches to supporting initiatives designed to benefit society worldwide. From a public investing perspective, the goals are certainly not new, but today’s access to vast amounts of data and the technology to analyze it offers the greatest opportunities yet for… READ MORE
In January 2021 the SEC began taking an enhanced approach to Environmental Social and Governance (“ESG”) investing. Since then, the SEC has issued no less than five announcements addressing a range of issues including reviews of public company disclosure of ESG issues, adding ESG reviews to their 2021 Examination Priorities and the creation of a… READ MORE
Envestnet | MoneyGuide today announced a partnership with Oyster Consulting to offer paraplanning services to mutual clients. The collaboration aims to empower more financial advisors to cost-effectively initiate, scale and deepen financial planning relationships with clients. “More than ever, clients are leaning on advisors to provide peace of mind and holistic advice in addition to… READ MORE
As firms think about heading back to the office, it is a great time to evaluate Front, Middle and Back Office Operations. What processes transferred seamlessly to a work-from-home environment? What were the pain points in being unable to work in the office? For firms that have not previously transitioned to a paperless environment, reliance… READ MORE