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Wednesday, April 27 2022

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SEC 2022 Exam Priorities: Be Prepared

The SEC has published its annual examination priorities for 2022. For those who have been in the industry for any amount of time, this is an expected annual tradition.... [...]

Tuesday, April 12 2022

Blog

Heading Into the Busy Season: What to Keep in Mind

The busy season is winding up. Beyond the usual routine, there’s a lot to think about and a lot that can create volatility in our business routines – including the... [...]

Tuesday, January 18 2022

Blog

Should Your Advisory Fees Be a Market Differentiator?

In a world that’s filled with marketing messages, how can a firm set itself apart from others? Every firm would like to say they provide outstanding service and have experienced... [...]

Monday, January 10 2022

Blog

Don’t Text and Trade

On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January... [...]

Thursday, January 6 2022

Blog

Vendor Recordkeeping Lapses Lead to $1.2 Million in Fines

Financial industry giant Merrill Lynch has the funding and capability to use any technology platform on the market to manage their books and records. They should have the best technology... [...]

Monday, December 27 2021

Blog

New Year, New Rules.

Regulation of the financial services industry can be quite tedious, labor-intensive, and burdensome. We’re not telling you anything you don’t already know. One thing that makes regulatory compliance tedious... [...]

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SEC 2022 Exam Priorities: Be Prepared - regtech

SEC 2022 Exam Priorities: Be Prepared

Heading Into the Busy Season: What to Keep in Mind

Should Your Advisory Fees Be a Market Differentiator?

Don’t Text and Trade

Vendor Recordkeeping Lapses Lead to $1.2 Million in Fines

New Year, New Rules.

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