Compliance Checklist for Registered Investment Advisers First and foremost, Registered Investment Advisers (RIAs) are held to a standard of fiduciary duty... READ MORE
Pay to Play Compliance - Understand the Impact of Political Donations SEC Rule 206(4)-5, commonly known as the pay-to-play rule, along with FINRA Rule 2030 and FINRA... READ MORE
Top Ten Reasons to Love MyComplianceOffice MyComplianceOffice is an innovative, cost-effective and easy-to-use platform that streamlines... READ MORE
Get the Message! Preserve eComms or Face Steep Regulatory Consequences Over the past few years, the SEC and CFTC have charged multiple Wall Street firms with widespread... READ MORE
SEC Examination Priorities Provide a Roadmap for 2025 Compliance The US Securities and Exchange Commission has published its rundown of Examination Priorities for... READ MORE
Mitigate Risk During the Gift-Giving Season and Beyond The holiday season will be here before we know it! And that means gifts and entertainment... READ MORE
MNPI Remains a High Risk Area for Compliance Failing to adequately manage Material Non-Public Information (MNPI) remains a high-risk area for... READ MORE
Top Ten Reasons Why We Love Compliance Officers In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love... READ MORE
Now's the Time to Plan for FINRA Renewals Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps... READ MORE
