Searching Content indexed under Finance and Banking by Joshua Horn ordered by Published Date Descending.
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What Do You Need To Know About New York And Cybersecurity
At its core, the rules require these entities to have cybersecurity programs directed to consumer protection.
United States
24 Jan 2017
Private Equity And Hedge Funds: Regulatory Analysis And Structural Overview
We have produced this handbook as a reference guide for all those who are interested in this exciting field, from potential entrants to those who may be more established and need a quick reference guide.
United States
22 Oct 2016
When Just Saying "No" Is A Good Thing
In the hectic world of financial services, registered representatives and investment adviser representatives are always looking to increase their assets under management. At what cost?
United States
14 Oct 2016
Why Treating Customer Complaint With Therapeutic Neglect Always Fails
I have seen this "human nature" all too often when defending brokers and advisor from customer complaints.
United States
2 Aug 2016
It Is All About The Disclosures
The SEC recently commenced an enforcement action against an investment advisory firm and its principal in connection with the failure to disclose material conflicts of interest in connection with new mutual funds that the firm recently created and managed.
United States
13 Jun 2016
SEC Exam Priorities; It Seems Like Deja Vu All Over Again
Those famous words of the immortal Yogi Berra hold true when it comes to the SEC exam priorities for 2016.
United States
27 Jan 2016
So, I Guess It Is All About Supervision And Risk Management After All
Other than the non-defined "culture", FINRA's 2016 exam priorities are also focused on supervision and risk management. At least these categories are a bit more defined so that you are not left guessing what FINRA means.
United States
19 Jan 2016
Culture . . . . We Don't Need No Stinking Culture
Well, guess what? FINRA does not agree with this statement to such a degree that culture is now part of FINRA's exam priorities for 2016.
United States
12 Jan 2016
Who Still Thinks FINRA Is Not Interested In Elder Investor Issues
As you may know, FINRA, last April, launched a senior helpline to address issues pertaining to senior investors.
United States
7 Jan 2016
Why Does The SEC Care About Elder Clients
The SEC is conducting an exam sweep that focuses on retirement advice being given to clients of investment advisors and broker-dealers.
United States
30 Dec 2015
Cybersecurity Focus For The New Year
As the New Year dawns, financial firms should only expect greater and more sophisticated attacks. After all, not only do you house personal identifying information, you also have access to client funds.
United States
30 Dec 2015
Brokers Beware: Negligent Practices Are Met With Negative Results
In the current regulatory climate, broker dealers need to ensure they're engaging in best practices, even with clients with whom they have strong and long-standing relationships.
United States
12 Nov 2015
What You Need To Know About The SEC Cybersecurity Exam Priority
In a recent risk alert, the SEC announced that it was instituting a second exam priority focused on cybersecurity at broker-dealers and registered investment advisors.
United States
21 Sep 2015
What An Amended FINRA Rule 8312 May Mean To You
FINRA has released for comment its proposed amendment to Rule 8312, otherwise known as the BrokerCheck Disclosure rule.
United States
16 Sep 2015
What Do You Need To Know About The Latest FINRA Sweep Exam
This limited examination is designed for information gathering purposes and to determine best practices around the sale of certain products to further focus on whether there are certain incentives for the sale of certain products.
United States
2 Sep 2015
How Can A Phone Call Save Your Career
A 17-year veteran advisor recently agreed to a lifetime ban for falsifying the signatures of a client on 10 documents transferring money out of the client's accounts over a period of two months.
United States
23 Jul 2015
So What Does The SEC Think About Cybersecurity
At the end of last month, the SEC provided a guidance update on cybersecurity for registered investment companies and registered investment advisors.
United States
5 May 2015
The DOL Proposes A Fiduciary Duty Rule; Is This The Beginning Of The End
The Department of Labor delivered on a longstanding but controversial promise when it recently proposed a fiduciary duty rule for all brokers who work with retirement accounts.
United States
16 Apr 2015
Is This A Preview Of FINRA’s Approach To Rule 3110(e)
In a recent Acceptance, Waiver and Consent ("AWC") a broker dealer was censured and fined for, among other things, the failure to conduct an adequate pre-hire investigation of a registered representative.
United States
1 Apr 2015
So What Can Be Done To Avoid The Quandary Of Clients With Dementia
As our population ages, more and more financial advisors will have to deal with clients who have dementia or get dementia.
United States
13 Nov 2014
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