Compliance

Industry

What’s new in compliance

Major CRM changes to be phased in over three years

By Staff |May 14, 2013

5 min read

Industry

Audit committee issues transcend borders

Audit committee members in Asia, Europe and the U.S. confront similar challenges.

By Staff |May 8, 2013

1 min read

Economic Indicators

Compliance biggest concern for power and utilities companies

Responding to frequently changing regulations and managing the effect on business and stakeholders are now the biggest concerns for power and utilities executives around the world, according to an Ernst & Young survey.

By Staff |April 23, 2013

2 min read

Industry

Compliance roundup

5 developments you should know about

By Staff |April 19, 2013

5 min read

MFDA for stronger supervisory structure

The Mutual Fund Dealers Association of Canada (MFDA) has advised fund dealers to take more stringent supervisory measures to determine suitability of investments as they relate to seniors, sale of exempt securities, and use of leverage. Read: MFDA revises rep’s terms of settlement In a bulletin detailing its regulatory priorities, the SRO recommends dealers “assess […]

By Staff |April 3, 2013

1 min read

Broker fined for violating FINRA rules

The U.S. self-regulatory organization FINRA has imposed a $5,000 fine on George Lincon of EKN Financial Services, Inc, for guaranteeing a customer against investment losses, reports Bill Singer of Forbes.com. FINRA asserts Lincon’s guarantee was in violation of FINRA Rule 2010 and 2150, which, among other restrictions, prohibit against such measures on the grounds that […]

By Staff |March 13, 2013

1 min read

SEC proposes rules for technological systems

The Securities and Exchange Commission (SEC) has proposed new rules for market participants that will require them to put in place comprehensive policies and procedures with regards to their technological systems. According to an SEC release, the proposal, called Regulation SCI, would replace the current voluntary compliance program with enforceable rules designed to better insulate […]

By Staff |March 8, 2013

2 min read

Social media compliance shouldn’t scare advisors

The biggest hurdle that keeps financial advisors engaging social media tools more effectively is said to be the onerous issue of compliance. However, a feature in Financial-Planning.com shows a more meaningful social media engagement is still possible for advisors. In eight myth-busting slides, it explains how it can be done. Also read: Should employees have […]

By Staff |March 4, 2013

1 min read

Compliance

What’s new in compliance

Audit committee issues transcend borders

Compliance biggest concern for power and utilities companies

Compliance roundup

How to survive regulatory audits

MFDA for stronger supervisory structure

Broker fined for violating FINRA rules

SEC proposes rules for technological systems

Social media compliance shouldn’t scare advisors

Salaries for compliance heads skyrocket