Company Blog

Reducing the Burden of Rule 17j-1 Compliance

Jul 30, 2018

If your firm is subject to Rule 17j-1 (Personal investment activities of investment company personnel), it’s probably not the compliance team’s favorite rule. Rule 17j-1, …

Best Practices for Educating Your Employees on Gifts & Entertainment Compliance

Jun 29, 2018

When Compliance Officers build and assess their firms’ compliance programs, there is often significant emphasis placed on ensuring codes of ethics, outside business activities oversight, …

MiFID II: Is Your Firm Prepared to Track Corporate Access Events and Participation?

Jun 26, 2018

The Financial Conduct Authority (FCA) has been reviewing the effects of the Markets in Financial Instruments Directive II (“MiFID II”) on the behaviour of market …

Fostering and Measuring Company Culture for Financial Services Firms

May 30, 2018

Financial services firms have worked for decades to create and maintain cultures of compliance, with varying degrees of success. In a recent publication, “Transforming Culture …

Is Your Firm Prepared for GDPR?

May 22, 2018

On 25 May 2018, the General Data Protection Regulation (GDPR), the European Union’s new data privacy regulation, will go into effect.  From that day forward, …

Understanding FINRA’s Proposed OBA Rule

Apr 16, 2018

In February, FINRA issued Regulatory Notice 18-08, requesting comments on a new rule that would replace current rules 3270 (Outside Business Activities of Registered Persons) …

Federally-Registered RIAs Should Expect More Remote Oversight in 2018

Mar 16, 2018

In 2012, the SEC examined approximately eight percent of registered firms. In 2017, approximately 15 percent of RIAs were examined, despite an increase in the …

FCA Requesting Input on How Technology Can Improve Regulatory Reporting

Mar 13, 2018

The Financial Conduct Authority (FCA) recently launched a call for input, asking how financial services providers believe using technology could ease the burden of filing …

Help! We Have a Conflict of Interest Breach. Now What?

Feb 22, 2018

If your firm is like most, you carefully crafted your code of ethics and conflict of interest policies to comply with SEC, FINRA, FCA, or other …

Stopping the Cycle: Holding Stragglers Accountable

Feb 8, 2018

Being a CCO can be a rewarding job, but it has its share of frustrations. You work hard to communicate the importance of your firm’s …

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