Amy Watson, Author at Red Oak Compliance Solutions

Tuesday, August 1 2017

FINRA Seeking Approval To Increase Scrutiny for “Problem” Brokers and Their Dealers

FINRA proposes increased regulations to help curb criticism from Congress and the Public Investors Arbitration Bar Association, as well as to strengthen the regulatory industry in general. FINRA has proposed... [...]

Monday, July 31 2017

BD Compliance IA Compliance

Common Exam Findings

To educate Firms on common exam problems examiners are “seeing consistently,” John Hickey, deputy director of FINRA’s New York district office, recently identified a few of the most common findings... [...]

Sunday, July 30 2017

News

SEC Sanctions Dually-Registered Investment Adviser and Broker Dealer

KMS Financial Services, Inc. is based in Washington and dually registered as a broker-dealer and investment adviser. The SEC found that in its capacity as registered investment adviser, the firm... [...]

Tuesday, July 25 2017

BD Compliance IA Compliance News

Meeting Sponsor Expectations in the Post-DOL-Rule World

According to a recent study released by Wells Fargo Asset Management, financial advisors working with defined contribution plans may not be delivering the services that their clients value most. When... [...]

Friday, July 21 2017

IA Compliance News

Wrap Fee Programs

In my seventeen years’ experience in the field of financial services compliance, the one thing that still manages to surprise me is when I mention the term wrap fee program... [...]

Saturday, July 15 2017

BD Compliance IA Compliance News

Compliance Solutions to Address Cybercrimes

Phishing expeditions in which hackers trick people to reveal confidential information or cause them to introduce a virus onto their computer, are on the rise. As a result, firms should... [...]

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FINRA Seeking Approval To Increase Scrutiny for “Problem” Brokers and Their Dealers

FINRA Seeking Approval To Increase Scrutiny for “Problem” Brokers and Their Dealers

Common Exam Findings

SEC Sanctions Dually-Registered Investment Adviser and Broker Dealer

Meeting Sponsor Expectations in the Post-DOL-Rule World

Wrap Fee Programs

Compliance Solutions to Address Cybercrimes

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