JUST RELEASED: The Compliance Advantage: Ten Must-Know Trends to Protect Your Investment Firm
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“Utilizing an outsourcing firm provides access to a deep-bench compliance team, avoids the fixed costs and management issues of hiring an in-house full-time employee, demonstrates compliance independence, shares liability and lower costs.” – Todd Cipperman, Founding Principal
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FINRA has proposed a new rule that would require broker-dealers with a large number of disciplinary events to set aside segregated funds to pay future penalties or arbitration awards. Proposed Rule 4111 (Restricted Firm Obligations) would score each firm against its peers based on registered person and member firm adjudicated… Read more
A broker-dealer was censured, fined, and ordered to retain an independent consultant in connection with failures to file Suspicious Activity Reports about pump-and-dump schemes. The SEC alleges that the firm neglected to file SARs even though it acknowledged several red flags including deposits of physical securities followed by rapid fund… Read more