News & Views
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CFI Sourced for Expertise on FINRA’s 529 Plan Initiative
- March 25, 2019
- Posted by: giawatkins
- Category: FINRA, SEC
No CommentsSlammed by Fines, Distributors Move to Fewer Share Classes, Simpler Sales Terms Article published on March 25, 2019 By Jill Gregorie Mounting regulatory pressure will push funds to slim down the number of share classes they make available, consultants say. Earlier this month, the Securities and Exchange Commission announced settlements with 79 advisory arms of broker-dealers
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Client Regulatory Alert: FINRA Extends Self-Reporting Deadline to April 30 for 529 Plan Share Class Initiative
- March 6, 2019
- Posted by: GA
- Category: FINRA
FINRA announced today, in connection with the agency’s 529 Plan Share Class Initiative (529 Initiative), that it has extended the deadline by which broker-dealers are required to self-report supervisory violations, and to provide FINRA with a plan to remediate harmed customers. In response, FINRA’s Department of Enforcement will recommend that FINRA accept a settlement that includes restitution for
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CFI / Eversheds 529 Plan Initiative Report Published by the National Society of Compliance Professionals
- March 1, 2019
- Posted by: giawatkins
- Category: Critical Issues, FINRA
NSCP Currents — the flagship publication of the National Society of Compliance Professionals — has published “Understanding FINRA’s 529 Plan Share Class Initiative,” an in-depth report co-authored by Capital Forensics and Eversheds Sutherland. Read the article HERE.
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Capital Forensics, Inc. and Eversheds Sutherland Release In-Depth Report on FINRA’s Regulatory Notice 19-04 Regarding 529 Plan Self-Reporting Initiative
- February 21, 2019
- Posted by: giawatkins
- Category: Compliance, FINRA
Many Broker-Dealers Still Unaware of Extent of the Information Required by FINRA; The CFI/ES 529 Report Outlines Steps for Firms, With Self-Reporting Deadline Looming PALATINE, Ill. and WASHINGTON, Feb. 21, 2019 /PRNewswire/ — Capital Forensics, Inc. (CFI) and Eversheds Sutherland (ES) announced today the publication of their in-depth Report that provides a detailed analysis of
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Client Regulatory Alert: FINRA Announces 529 Plan Self-Reporting Initiative with April 1st deadline
- January 29, 2019
- Posted by: giawatkins
- Category: FINRA
FINRA announced a self-reporting initiative to promptly compensate harmed investors and promote firms’ compliance with the rules regarding recommended transactions of 529 savings plans. Under the 529 Plan Share Class Initiative (529 Initiative), broker-dealers are encouraged to review their supervisory systems and procedures governing 529 plan share-class recommendations, to self-report supervisory violations, and to provide
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Capital Forensics, Inc. Further Strengthens Labor Relations and Human Resources Credentials with Addition of Attorney Gary England
- January 22, 2019
- Posted by: giawatkins
- Category: CFI News
New Senior Advisor Has Extensive Background in Labor- and Employment-Related Issues Involving the Securities Industry, Public Sector and Private Industry Firms PALATINE, Ill., Jan. 22, 2019 /PRNewswire/ — Capital Forensics, Inc. (CFI) is pleased to announce that it is expanding the firm’s regulatory and compliance team, with the addition of Gary England as a Senior
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CFI is proud to announce that our Managing Director, Eric Siber, has been elected by The Florida Securities Dealers Association [FSDA] as a 2019 incoming executive officer to the FSDA Board of Governors.
- January 22, 2019
- Posted by: giawatkins
- Category: CFI News
CFI is proud to announce that our Managing Director, Eric Siber, has been elected by The Florida Securities Dealers Association [FSDA] as a 2019 incoming executive officer to the FSDA Board of Governors.
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Introducing CFI’s Professional Insights series: This issue featuring Brian Amery
- December 10, 2018
- Posted by: giawatkins
- Category: CFI News, Professional Insights
At the forefront of the securities field, Brian Amery has handled thousands of securities matters and has tried to conclusion more than 125 securities claims in numerous arbitration forums, and state and federal courts. Brian has successfully managed mass litigations involving thousands of cases, collaborated with clients to develop nationwide litigation strategies, and often times,
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John Ivan Featured Panelist at Greensfelder’s 10th Annual Securities Industry Symposium
- November 16, 2018
- Posted by: giawatkins
- Category: CFI News, Compliance
John Ivan, CFI’s Managing Director, Regulatory & Compliance, was a featured panelist at Greensfelder’s Annual “Securities Industry Symposium” held yesterday in St Louis, Missouri. In addition to John (far left), the panel on “Ethical Issues in Investigations” included (right to left) moderator Dennis Capriglione, Senior Counsel at Wells Fargo Advisors; Jane Matoesian, Managing Counsel with Benjamin
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Stephen Strombelline featured panelist at 2nd annual AFME conference in London
- October 2, 2018
- Posted by: giawatkins
- Category: Compliance
Managing Director Stephen Strombelline was a featured panelist at the 2nd annual AFME conference in London, attended by more than 400 representatives of leading European financial firms. His panel covered new technologies in surveillance.