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Are you applying Due Diligence? - News

Saturday, March 17 2018

Are you applying Due Diligence?

In 13 years acting as an auditor in the securities regulation industry it was surprising to find out how few in the industry conducted, and documented, due diligence of the... [...]

Sunday, March 11 2018

BD Compliance News

Proposed New Rule for Outside Business Activities and Private Securities Transactions

FINRA is requesting comments on a proposed new rule for outside business activities and private securities transactions of registered persons. This proposed rule would replace FINRA Rule 3270 (Outside Business... [...]

IA Compliance News

SEC Fines Adviser for Custody Rule Violations

The Securities & Exchange Commission (“SEC” or the “Commission”) instituted cease and desist proceedings against Financial Fiduciaries, LLC, (“Financial Fiduciaries”) a registered investment adviser located in Wausau, Wisconsin, and Thomas... [...]

Saturday, March 10 2018

BD Compliance IA Compliance News

Longtime Merrill Lynch Rep Faces Prison for Overcharging Clients

Thomas Buck, a dually registered Investment Adviser Representative who worked at Merrill Lynch for 33 years prior to being terminated in 2015, now faces prison following his guilty plea on... [...]

Sunday, February 18 2018

BD Compliance IA Compliance News

SEC Will Not Impose Civil Penalties on Advisers Who Self-Report Their Failure to Disclose Conflict of Interests Related to Share Class Selection

The Securities and Exchange Commission (“SEC”) has announced, under a new Share Class Selection Disclosure Initiative (“SCSD Initiative”), that it will not seek civil penalties against eligible investment advisers who... [...]

Sunday, January 21 2018

BD Compliance IA Compliance News

Will the SEC Shut Down During a Government Shutdown?

The US Securities and Exchange Commission (SEC) has issued an “Operations Plan Under a Lapse in Appropriations and Government Shutdown” (“Operations Plan”), which describes how the SEC will operate in... [...]

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Are you applying Due Diligence? - News

Are you applying Due Diligence?

Proposed New Rule for Outside Business Activities and Private Securities Transactions

SEC Fines Adviser for Custody Rule Violations

Longtime Merrill Lynch Rep Faces Prison for Overcharging Clients

SEC Will Not Impose Civil Penalties on Advisers Who Self-Report Their Failure to Disclose Conflict of Interests Related to Share Class Selection

Will the SEC Shut Down During a Government Shutdown?

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