Compliance

Market participants are wary that regulators may muddle ESG risk disclosure guidance with guidance regarding labeled bonds.

The 70-page report homed in on some muni-specific risks uncovered during examinations.

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

The organization sought to increase representation of underrepresented minorities and women on its municipal market advisory groups.

Groups believe that the draft compliance resources contain some useful information, though they could be construed as creating new compliance requirements.

Todd Cipperman, founding principal of Cipperman Compliance Services, talks with Chip Barnett about compliance and disclosure and regulation by the federal government in 2022. (42 minutes)

Is Bitcoin at a "tipping point" and could it one day be the currency of choice for trade? The future for digital currencies can be bright, but there are still risks involved. In this session join Yan Zhao, President of NYDIG as she explores: (1) the overall discussion of how Bitcoin is experiencing wider adoption in the traditional finance world, and why that is; (2) Recent partnerships in the financial sector and how they've helped evolve the space; and (3) how and why organization are embedding Bitcoin in various financial services products like lending, payroll, banking, and investing.

Some firms are voluntarily self-reporting potential supervisory and suitability rule violations.

The Commission’s enforcement results highlight the importance of proper disclosure.

Compliance input and advisory group submissions are due by Dec. 13th