BROKER-DEALER -
FINRA Requests Information Regarding Firm Culture and Values -
The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how...more
2/29/2016
/ Banking Examinations ,
Comptroller ,
Corporate Culture ,
Depository Institutions ,
EU ,
Examination Priorities ,
ISDA ,
MiFID II ,
No-Action Letters ,
Recordkeeping Requirements ,
Security-Based Swaps ,
Stress Tests ,
UK
SEC/CORPORATE -
SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors -
On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more
SEC/CORPORATE -
FAST Act Legislation and Impact on Securities Law -
On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more
BROKER-DEALER -
FINRA Issues Investor Alert Regarding IRS Phone Scam -
The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more
11/16/2015
/ CPOs ,
EU ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Form PQR ,
Internal Investigations ,
Major Swap Participants ,
MiFID II ,
Risk Management ,
Tax Scams ,
UK ,
Volcker Rule