Year: 2020

Controls and records are often critical to the functioning of a company. Broker-dealers, as regulated entities, are required to maintain certain systems and records to aid in fulfilling their obligations. One requirement is to effectively respond to a Commission request …

Broker Admits Violations of Securities Laws to Settle with SEC Read More »

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Inspections for compliance with Form CRS and its rules will begin after the June 30, 2020 filing date, according to an OCIE Risk Alert dated April 7, 2020 (here). The Alert identifies key areas the staff will be examining regarding …

OCIE, Form CRS and Inspections Read More »

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