News & Insights

What do you envision the process will be in creating the risk assessment tool and who would typically be involved in its development? We will utilize our risk assessment models as a baseline to develop...
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Allia Consulting Financial Services Risk Compliance
Recently, we took a look at FINRA’s May 2020 disciplinary actions and found that there were 3 cases relating to violations of FINRA 5210. Of the 3 firms, fines were from $30,000 to $150,000. The rule...
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In March, 2020, FINRA fined $45,000 and censured a retail broker for lack of procedures to identify red-flags related to low-priced securities trading. Similarly, disciplinary actions were brought against 2 introducing brokers in 2018 where...
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In FINRA’s February monthly Disciplinary Actions report, there were 3 actions related to UITs.  Before we dive into each of these cases and discuss some lessons learned, it’s important to note that UIT’s were in...
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The SEC provided an updated timeline on April 20 to provide extensions for CAT target go-live dates. https://www.sec.gov/news/press-release/2020-92 Here is an updated timeline. In summary, go-live dates that were originally planned for early 2020 have...
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This is a webinar presented by ALLIA Consulting to inform and generate ideas on how to optimize broker dealer compliance in reviewing the latest regulatory updates from FINRA and SEC, CAT requirements, and AML for...
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Do you come across this question often or a variation of the question such as – what software is available to address my business? or why does the software I bought not have the basics...
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Sticky Post
Before year-end, as everyone is preparing to take some much-deserved time off, CCOs should take some time to plan for what will be awaiting them in the New Year.
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Not ready for the holidays yet? How about attending a workshop hosted by me and two of my financial services colleagues who all have lots of experience in Compliance for Broker Dealers and Asset Managers....
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