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1
SEC's Exam Deficiencies
The SEC recently released its findings relating to exams of investment advisers. In particular, the OCIE found weak compliance programs; insufficient or late filings; custody rule violations...
United States
13 Feb 2017
2
Compliance Issues The SEC Is Seeing
The Office of Compliance Inspections and Examinations (or OCIE) recently issued a Risk Alert that identified the five most frequent compliance topics that arising from OCIE examinations.
United States
13 Feb 2017
3
Trump Sets Plan In Motion To Dismantle Dodd-Frank
According to Bloomberg, Trump plans to order a review of Dodd-Frank, with an eye to significantly scale back the regulations.
United States
6 Feb 2017
4
Securities Compliance Sentinel
A recent Investment News article highlighted a burgeoning market for financial advisors looking to protect their practices; namely, data breach insurance.
United States
21 Jan 2017
5
What Are You Doing To Prevent A Data Breach
A broker-dealer recently agreed to pay a $650,000 fine after an OSJ's cloud vendor failed to adequately protect customer information.
United States
13 Dec 2016
6
SEC Taking A Closer Look At Non-GAAP Financial Reporting
The takeaway for companies that use non-GAAP metrics in their financial reporting is that the SEC has signaled their intent to increase regulation and enforcement in this area.
United States
8 Dec 2016
7
FCPA Enforcement Actions On Breakneck Pace In 2016
In a pair of recent articles, practitioners have been crunching the numbers, and 2016 is on near-record pace for Foreign Corrupt Practices Act (FCPA) enforcement action dispositions.
United States
17 Nov 2016
8
SEC Chair To Step Down: Path Cleared For Deregulation
The latest post-election domino has fallen. Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration.
United States
16 Nov 2016
9
Dodd What
Now that the election is over, it remains to be seen whether a Trump administration will do away with Dodd-Frank and dump the Department of Labor fiduciary duty rule as promised.
United States
9 Nov 2016
10
Discounting Sheep: Why Creativity Is Critical For Lawyers And Accountants
Our professions rarely preach creativity. Sadly, the legal and accounting worlds have built-in disincentives for creativity. We rely on precedent, long, carefully worded regulations, and a plethora of rules as the cornerstones of our practice.
United States
2 Nov 2016
11
So Who Wants Senior Clients
In its never-ending effort to thwart senior investor fraud, FINRA recently proposed a new rule to the SEC.
United States
2 Nov 2016
12
FINRA Regulation of Broker-Dealer Due Diligence In Regulation D Offerings
Under the Securities Act of 1933, as amended (Securities Act), any offer to sell or sale of securities must be registered with the U.S. Securities and Exchange Commission (Commission) or qualify for a registration exemption.
United States
22 Oct 2016
13
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
14
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
15
Broker-Dealer Record Keeping Requirements
Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial Industry Regulatory Authority (FINRA).
United States
22 Oct 2016
16
Crowdfunding Intermediaries
On April 5, 2012, the Jumpstart Our Business Startups Act (the JOBS Act) was enacted. Consistent with its name, the JOBS Act sought to help small businesses and start-ups get off the ground and on a path toward success.
United States
22 Oct 2016
17
Matthew D. Lee Updates Foreign Account Tax Compliance Act Answer Book
Lee's book provides a detailed analysis of the international tax compliance regime imposed by the Foreign Account Tax Compliance Act (FATCA), and its impact on foreign financial institutions, withholding agents and U.S. citizens and residents with offshore bank accounts and investments.
United States
22 Oct 2016
18
A Data Breach! You Better Check The Law Of The States In Which You Have Customers
Consistent with the ongoing guidance/requirements from the SEC and FINRA, all firms must have and enforce data security policies and procedures.
United States
19 Oct 2016
19
Broker Dealers, Registered Investment Advisers and Commodities/Futures Registered Entities: Recognizing Their Structured And Regulatory Differences
At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our clients to develop these entities while also assisting them in their ongoing business operations.
United States
19 Oct 2016
20
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
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