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SEC 2021 National Exam Program Examination Priorities

USA - March 4 2021 On March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and…

Aline McCullough, Emily P. Gordy, Molly M. White.

New Year, Old Problem: Broker-Dealers Should Evaluate Their Supervision of Personal Device Use

USA - February 9 2021 Many companies that transitioned to a work-from-home environment in early 2020 may have reasonably anticipated a return to the normalcy of in-office…

Alexander Martin Madrid, Chelsey A. Dawson, Emily P. Gordy.

Consolidated Financial Account Reports and Use of Vendors: FINRA Continues Regulatory Scrutiny - What’s Old is New

USA - February 2 2021 Consolidated financial account reports can offer a broad - all-encompassing — view of customers’ investments regardless of where the assets are held…

Emily P. Gordy, Piper A. Waldron.

Another Cop on the Beat? CFP Board Signals Increased Enforcement Focus

USA - November 30 2020 Financial advisors have long used the Certified Financial Planner designation as an indicator to potential clients that they meet high standards of…

Alexander Martin Madrid, Chelsey A. Dawson, Emily P. Gordy.

Pitfalls to Avoid in Investment Adviser Compliance Programs: SEC OCIE Risk Alert

USA - November 24 2020 On November 19, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert, OCIE Observations: Investment Adviser…

Anitra T. Cassas, Emily P. Gordy.