The new tools will provide financial services firms and their compliance officers better oversight in managing advisors’ electronic communications
Hearsay Messages will allow advisors to access work and private phone numbers on one device
Although the dealer’s policy manual is long and dull, you need to find the time to read it and remain fresh on the issues
It’s becoming more important for advisors to leverage technology to maintain an audit trail showing compliance that you’re doing the right thing
Compliance needs to become a critical component of doing business, both for you and your staff
The regulator’s compliance exams found weak suitability controls and significant weakness in supervision
The SRO will retain its surplus to cushion the impact of a new accounting standard and anticipated capital expenditures
2015 Compliance Report Card lists top five deficiencies
The goal is to help firms prepare for new compliance requirements
Brokers may be recommending riskier, possibly unsuitable securities