In May 2019, Bates Compliance published a review of the supervision, inspection and operational considerations for broker-dealer branch office compliance. In that paper, Bates described the core obligations on supervisors […]
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On June 19, 2020, FINRA issued Regulatory Notice 20-18, noting changes to FINRA’s suitability rule, Capital Acquisition Broker (“CAB”) suitability rule and rules governing non-cash compensation consistent with the requirements […]
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FINRA has issued Regulatory Notice 20-21 which provides guidance to its member firms to help them comply with FINRA Rule 2201 pertaining to retail communications concerning private placement offerings. FINRA […]
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Understand what Reg BI requires now — and what more you must implement before the final deadline. Read our new white paper: "SEC’s Regulation Best Interest Perspectives on Firm Compliance." […]
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In civil litigation where the narrative includes financial information, an experienced forensic accountant delivers analytical clarity while providing accounting, financial and investigative expertise. Backed by relevant litigation support experience and […]
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While millennials in general may not be hot prospects, the young adult children of your clients are another matter. If you want to keep managing that money once it is […]
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In recent months, Winget Spadafora & Schwartzberg, LLP (“WSS”) has been engaged by numerous insurance E&O carriers, broker-dealers and their registered representatives, and registered investment advisors and their investment advisor […]
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Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been more important – and more challenging- for financial institutions. Compliance […]
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The New York State Department of Financial Services has promulgated 17 new cybersecurity regulations which apply to regulated entities doing business in New York. The new DFS rules apply to […]
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Insurance issues often influence the outcome of securities arbitrations and mediations, yet the workings of errors and omissions insurance is not fully understood by many lawyers, arbitrators and mediators. In […]
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By Barry R. Temkin and Michelle Atlas* Following the financial crisis of 2008, the role of Chief Compliance Officer for financial institutions has been redefined, most notably by the Dodd-Frank […]
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