Category: Compliance Bulletin

Bulletin: FINRA 2017 Regulatory and Examination Priorities Letter

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory […]

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Anti-Bribery Regulation and Enforcement: Are Things About to Change?

Spotlight On Talent: Dan Dorsky, Principal and Head of Anti-Corruption and Ethics These are fascinating times for U.S. and global […]

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Out With The Old...In With The New

COMPLIANCE BULLETIN: OUT WITH THE OLD...IN WITH THE NEW Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant Why is January […]

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You’ve Established The Tone At The Top – Do You Know The Mood In The Middle?

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent SEC announcement by OCIE […]

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Bulletin: Hedge Fund Rocked By Bribery Investigation By Dan Dorsky

by Dan Dorsky, Principal, Anti-Corruption and Ethics Practice. An enforcement action jarring the financial services sector has been resolved. Och-Ziff […]

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Who You Callin' A Fiduciary???

COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory The United […]

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Compliance Bulletin 01-15: A TALE OF TWO VERTICALS

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered that many of our clients […]

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Compliance Bulletin 04-14

YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end […]

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Compliance Bulletin 03-14

Recent SEC enforcement actions have increased focus on how well advisers and boards of registered and unregistered investment companies provide compliance oversight. Download the Investment Adviser Bulletin and stay up to date with the regulatory landscape. This month Valerie Lewis examines four examples that touch on best execution practices and disclosures, valuation of securities, and oversight of sub-advisers.

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Compliance Bulletin 02-14

Public companies should determine the best way to embrace and utilize social media –The Social Media Governance for Public Companies Bulletin provides recommendations for guidance and ongoing training in regard to your company's Next Generation Social Media Policy.

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