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...Read More
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...Read More
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...Read More
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...Read More
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.Read More
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....Read More
Are you contemplating or embarking on organizational, operational or technology changes at your organization? While change is inevitable, not all change is intentional and creates value for the organization. Defining Why? In a recent client...Read More
Many business owners talk about budgeting at a high-level because it often requires involving too many people and frankly, sometimes it’s easier to stick with delivering great results instead of having to plow through the...Read More
