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On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the [...]

BULLETIN: The Department of Labor (DOL) Fiduciary Rule Spotlight On Talent: Scott Brown, Senior Consultant at Compliance Risk Concepts The Department of Labor (DOL) Fiduciary Rule, was originally [...]

Examining matters of importance to retail investors Spotlight On Talent: Portia Amato, Compliance Officer  By now, every CCO and their team have asked themselves this question, and if you have [...]

Sometimes, Being Two-Faced is a Good Thing… Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory On January 1, 153 B.C., Rome was the site of the first recorded new [...]

Spotlight On Talent: Dan Dorsky, Principal and Head of Anti-Corruption and Ethics These are fascinating times for U.S. and global enforcement of anti-bribery laws. More resources are being [...]

COMPLIANCE BULLETIN: OUT WITH THE OLD…IN WITH THE NEW Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant Why is January 1 different from all other days of the year? After all, [...]

COMPLIANCE BULLETIN: SEC WHISTLEBLOWER REGULATIONS Spotlight On Talent: Lilian Colpas, Senior Compliance Consultant The most recent SEC announcement by OCIE correlates to the point that [...]

COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory The United States Department of Labor (“DOL”) recently finalized rules [...]

The Differences Between Broker-Dealers and Investment Advisers Over the past few years, we have discovered that many of our clients and prospects have taken a genuine interest and are often [...]

YOU BETTER CHECK YOURSELF – BEFORE YOU WRECK YOURSELF End of Year Compliance Requirements For Broker Dealers As the end of 2014 quickly approaches, this Compliance Bulletin serves as a [...]