Technology is changing at an unprecedented pace, and compliance teams need to be ready for anything – the future compliance landscape will be different from anything we’ve seen before. Regulations will be more stringent, and companies will be expected to…
The SEC has published its annual examination priorities for 2022. For those who have been in the industry for any amount of time, this is an expected annual tradition. In fact, the SEC noted that they’re commemorating ten years…
The busy season is winding up. Beyond the usual routine, there’s a lot to think about and a lot that can create volatility in our business routines – including the price of oil and the rising costs associated with inflation.…
The core principle of the Investment Advisors Act of 1940 is Investor protection. Its mission, and that of the SEC, is to shield investors from unscrupulous people who sneak into the position of an Investment Adviser Representative and claim to…
In a world that’s filled with marketing messages, how can a firm set itself apart from others? Every firm would like to say they provide outstanding service and have experienced professionals working on behalf of their clients. There can…
On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January 2018 and November 2020, J.P. Morgan employees communicated about securities…