Ascendant summarizes SEC and FINRA exam priority letters, highlighting key topics to investment advisers and broker-dealers, along with practical advice.
Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.
The CRD system’s balance representation’s will now be much more intuitive.
Where, When, and How to Make a Disciplinary Disclosure in Regulatory Filings Introduction Investment advisory firms and related individuals provide “disciplinary disclosures” to the public and the regulators though registration and reporting filings, which include for example and as applicable, … Read more
Big Data: Using Data Analytics to Detect Fraud, Manage Risk & Perform Effective Compliance Monitoring Introduction On February 22, 2014, Assistant Regional Director Erozan Kurtas unveiled the Securities and Exchange Commission’s (SEC) newest Big Data project, the National Exam Analytics … Read more
Utilizing Change Management to Evidence Monitoring As the SEC arrives to the technology party in a very public manner, investment advisers and broker dealers, who have already been operating in a needs-driven and best practice environment, must now open their programs for scrutiny. Current … Read more