The SEC’s Office of Compliance Inspections and Examinations reports finding widespread compliance deficiencies related to custody of securities. In its March 4, 2013 National Exam Program Risk Alert, OCIE said that...more
3/8/2013 - Custody Rule Customer Funds Protection Investment Adviser Investors NEP SEC
In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The January 11, 2013 report follows closely on...more
1/16/2013 - Broker-Dealer Compliance Cybersecurity FINRA Investment Adviser Investors
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