Maximizing Attestations: A View from the C-Suite

Compliance attestations provide confirmation that employees have received current information and training on the compliance policies and procedures that apply to them, they have read and understood them, and they are conforming to the required standards in their work. 

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A Better Way to Track Registrations and Licenses

Does your firm manage employee credentials using a spreadsheet? Does your compliance team spend hours and hours in the fourth quarter of every year preparing for annual FINRA renewals? There's a better way that eliminates the compliance risk and time sink that goes hand-in-hand with manual processes and reduces the chance of error and regulatory censure. 

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Mid-Year Regulatory Review – What’s the Latest from the SEC and FINRA?

As we enter the third quarter of 2022 it's clear that both the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are continuing to demonstrate a steady pace of enforcement.

And there’s no indication that this steady pace will be slowing down. In fact, in recent remarks, SEC Director of the Division of Enforcement Gurbir S. Grewal noted that he’s “been asking staff to look for ways in which to push the pace of investigations since day one.”

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Insider Trading, Digital Assets and MNPI: Regulatory & Compliance Risk

The U.S. Securities and Exchange Commission recently issued a risk alert warning investment advisers of common deficiencies related to their firms' ethics codes and the handling of material non-public information. According to Thomson Reuters Senior Regulatory Intelligence Expert Todd Ehert, the warning is a strong reminder that proper handling and safeguards of material non-public information (MNPI) is a core compliance responsibility for all advisers that should not be overlooked.

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Taking the Broad View: Better Risk and Compliance Through Holistic Oversight

In order to be effective advisors, Chief Compliance Officers must have a clear and holistic view of their organization’s risk profile. A clear and holistic view of risk helps compliance set regulatory priorities, identify gaps in policies and procedures and streamline operations. 

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