SEC Could Start Issuing More Exam Fines for Poor Cybersecurity Controls

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Registered Representative Compliance – Must Know Essentials

You’ve decided to enter the exciting world of wealth management and want to work at a broker-dealer as a Registered Representative. Now what? Qualifications Overview To be a Registered Representative (Registered Rep), you must be registered with an SEC registered broker-dealer, pass a qualifying exam, and be licensed by your state securities regulator. The firm will […]

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AI in Wealth Management Podcast Series Part 2

AI’s Role in Transforming Wealth Management Artificial intelligence is increasingly integral to the wealth management sector’s shift towards data-driven, personalized, and secure services. However, as firms embrace AI technology, they also face escalating regulatory demands and risk management hurdles. In Part 1 of our Oyster Stew podcast series on AI and Wealth Management, we shared […]

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SEC Issues T+1 Risk Alert

T+1 Risk Alert Highlights Examination Focus The U.S. financial market’s move to a T+1 settlement cycle has taken tremendous resources from industry participants including buy-side and sell-side participants, custodians, and clearing agencies. Not to be left out, regulatory authorities have finalized rule changes governing settlement activities to enforce the T+1 settlement cycle. The SEC Division […]

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