Compliance
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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
- Categories: Compliance, FINRA
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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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John Ivan Featured Panelist at Greensfelder’s 10th Annual Securities Industry Symposium
- November 16, 2018
- Posted by: giawatkins
- Categories: 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.
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SEC Continues its Focus on Best Execution Obligations for Investment Advisers
- September 20, 2018
- Posted by: giawatkins
- Category: Compliance
In July, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert that identified common deficiencies they found in examinations of Best Execution obligations across 1,500 investment advisers. We encourage our clients to read it in full, including the Enforcement Actions referenced, as OCIE continues to focus on this area in their
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CFI Provides Guidance on SEC Share Class Selection Disclosure (SCSD)
- April 3, 2018
- Posted by: giawatkins
- Category: Compliance
In the latest issue of NSCP Currents – the flagship publication of the National Society of Compliance Professionals – Managing Directors John Ivan and Christine Cornejo provide guidance on the data analytics challenges related to SCSD disclosure…from assessing the magnitude of the issue to conducting remediation.
