5 Common Compliance Mistakes

When I was a regulator, we would meet each week to discuss the cases being considered for Enforcement referrals. It was surprising how often the same types of cases would come before us. These were not always headline grabbing, but they were avoidable items that came up over and over again. I thought it might… READ MORE

New Podcast: Resolving Operational Issues Uncovered During Acquisitions and Transformations

Trying to resolve issues and improve¬†operational efficiency¬†by aligning people and technology can lead to unexpected problems and mixed results. Whether your firm leadership wants to evaluate how the firm is running, the firm has recently undergone a merger or acquisition or is experiencing errors, losses or attrition, an Operational Assessment can increase efficiency, save your… READ MORE

2016 SEC & FINRA Exam Priorities

If you ever want to know what the regulators are focusing on when they conduct examinations, they actually tell you. Last month FINRA and the SEC put out their examination priorities. These priorities can be used to help you understand their focus and give you guidance on how to prioritize your efforts to maintain a… READ MORE