On December 7, FINRA published its Report on 2018 Examination Findings1 (the "Report"). This is the second year that FINRA issued a summary of its observations from recent examinations. This Report, read in conjunction with...more
12/21/2018
/ Annual Reports ,
Anti-Money Laundering ,
Broker-Dealer ,
Customer Due Diligence (CDD) ,
ETFs ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
MSRB ,
Private Placements ,
REIT ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Supervision
On January 11, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2016 examination priorities for investment companies, investment advisers, broker-dealers and...more
BROKER-DEALER -
2016 Examination Priorities Announced By SEC -
On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination...more
1/18/2016
/ CFTC ,
Cybersecurity ,
Derivatives ,
ETFs ,
EU ,
European Banking Authority (EBA) ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
MiFID II ,
SEC Examination Priorities ,
Swap Clearing ,
UK
On November 16, 2015, the Securities and Exchange Commission (SEC) sued an investment adviser, Virtus Investment Advisers, Inc., who had hired another adviser, F Squared Investments, Inc., to sub-advise certain mutual funds...more
On September 22, the Securities and Exchange Commission proposed a comprehensive package of rule reforms designed to enhance effective liquidity risk management by open-end funds, including mutual funds and exchange-traded...more
9/30/2015
/ Asset Class ,
Board of Directors ,
Comment Period ,
ETFs ,
Independent Director ,
Investment Company Act of 1940 ,
Investment Funds ,
Liquidity Risk Management Rule ,
Mutual Funds ,
NAV ,
Proposed Regulation ,
Registration Statement ,
Securities and Exchange Commission (SEC)