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Financial Services Update, Vol. 14, Issue 5

European Union, USA - February 4 2019 The Financial Industry Regulatory Authority, Inc. (FINRA) recently issued its annual, but renamed, Risk Monitoring and Examination Priorities Letter…

Basil V. Godellas, Jay B. Gould

FINRA’s 2019 Risk Monitoring and Examination Priorities Letter

USA - January 29 2019 On January 22, the Financial Industry Regulatory Authority, Inc. (FINRA) released its annual, but renamed, Risk Monitoring and Examination Priorities…

FINRA Issues 2019 Risk Monitoring and Examination Priorities Letter

USA - January 25 2019 On January 22, the Financial Industry Regulatory Authority, Inc. (FINRA) released its annual, but renamed, Risk Monitoring and Examination Priorities…

Reminder of Annual Requirements for Investment Managers - 2019

USA - January 25 2019 An Investment Manager that is registered with the SEC as an investment adviser (a “Registered Manager”) under the Investment Advisers Act of 1940, as…

John T. Albers, Aimee A. Albright, John P. Alexander, Jonathan T. Ammons, Terry S. Arbit, Cole Beaubouef, J. Wade Challacombe, Megan M. Devaney, Shawn R. Durrani, Christine A. Edwards, Daniel A. Filstrup, Margaret Lomenzo Frey, Richard E. Ginsberg, Basil V. Godellas, Jay B. Gould, Morton E. Grosz, Winston Hao Gu, Francesca M.S. Guerrero, Jacqueline P. Hu, Rachel Ingwer, Mary E. Jardine, Brian J. Kozlowski, Beth R. Kramer, Michael L. Loesch, Julius L. Loeser, Breanne K. Long, Bradley S. Mandel, Andrew J. McDonough, Sharon Mori, Scott W. Naidech, Joseph H. Nesler, Kate L. Price, Zachariah A. Robert, Alan B. Roth, Bradley T. Schlotter, Dania S. Sharma, Alessandra V. Swanson, Gregory M. Weston, Michael G. Wu

SEC OCIE National Exam Program Examination Priorities for 2019

USA - January 3 2019 On December 20, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its annual list of examination priorities for 2019…