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 […]
Read MoreOn 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 […]
Read MoreFINRA 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 […]
Read MoreUnderstand 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." […]
Read MoreIn 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 […]
Read MoreWhile 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 […]
Read MoreIn 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 […]
Read MoreHiring 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 […]
Read MoreThe 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 […]
Read MoreInsurance 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 […]
Read MoreBy 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 […]
Read More