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Groups believe that the draft compliance resources contain some useful information, though they could be construed as creating new compliance requirements.
January 20 -
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)
January 4 -
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.
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Some firms are voluntarily self-reporting potential supervisory and suitability rule violations.
December 22 -
The Commission’s enforcement results highlight the importance of proper disclosure.
November 19 -
Compliance input and advisory group submissions are due by Dec. 13th
November 12 -
Former JP Morgan broker allegedly provided incorrect and misleading account reports to a customer.
November 11 -
Some issuers may have taken their eyes off of arbitrage risk, but advisors are still taking that tax-exempt compliance job seriously.
September 3 -
The two issuances under IRS scrutiny join an earlier debt issuance the county disclosed publicly late last year.
July 30 -
FINRA arbitrators ordered the wealth manager and closed-end funds manager to pay damages as it resolves outstanding claims stemming from the island’s fiscal crisis.
May 21