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

Will Your AML Program Stand Up to Scrutiny?

Both the SEC and FINRA listed anti-money laundering (“AML”) as an examination priority for 2016. This should not be a surprise to anyone that works for a broker-dealer.  Broker-dealers have been subject to ever-increasing scrutiny on this topic since the adoption of the USA PATRIOT Act. Unless you aren’t paying attention, you have certainly seen… READ MORE