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Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate
- July 13, 2020
- Posted by: giawatkins
- Category: Uncategorized
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NSCP Currents — the flagship publication of the National Society of Compliance Professionals — has published “Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate,” an in-depth report co-authored by Capital Forensics and Eversheds Sutherland. Read the article HERE.
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Jay Rosen is Featured Panelist at Industry Seminar On Selling and Defending Alternative Products
- July 29, 2019
- Posted by: giawatkins
- Category: Uncategorized
In late June, our Founder, and Chairman Emeritus, Jay Rosen, participated in a panel presentation, entitled “Alternative Products: Selling and Defending from the Perspective of the Broker-Dealer… and The Experts”, hosted by Lilian Morvay, CEO of the IBDC – RIAC. Joining Jay were Sherri Cooke of AI Insight; David Baugh of Kaufman, Dolowich & Voluck
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Capital Forensics, Inc. Further Strengthens Compliance, Legal and Regulatory Credentials with Addition of Attorney Wesley L. Ringo
- June 11, 2018
- Posted by: giawatkins
- Category: Uncategorized
Firm’s New Senior Advisor Has Extensive Financial Services Industry Experience as Senior Executive, Exchange Official and Securities Commissioner PALATINE, IL – JUNE 11, 2018 – Capital Forensics, Inc. (CFI) announced today that Wesley (Wes) L. Ringo has joined the firm as a Senior Advisor, adding even greater depth to CFI’s team of professionals dedicated to helping
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CAT implementation uncertainty gives broker-dealers strategic options
- March 13, 2018
- Posted by: giawatkins
- Category: Uncategorized
Investment News magazine published CFI Managing Director John Ivan’s recommendations on how broker-dealers can address structural shortcomings in advance of CAT implementation.
