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Keyword: Compliance

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Compliance Legal Rule Compliancy Conformity Concept

Advisors also shared how firms could help further

compliance puzzle

Lower compliance costs will allow advisors to better serve smaller investors

Closeup of mallet being hit on stacked coins at table in courtroom

The case is the last of four involving the sale of syndicated mortgages

  • By: IE Staff
  • January 31, 2019 April 16, 2019
  • 12:43
Wall street sign in New York with American flags and New York Stock Exchange background.

Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization

  • January 22, 2019 April 16, 2019
  • 14:45
Gavel and legal books

Renee Michelle Penko will spend 30 days in jail

  • By: IE Staff
  • January 10, 2019 April 6, 2019
  • 12:15
meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

The RAC serves as a forum to discuss compliance and registration issues

business people standing in line under a magnifying glass

Inadequate due diligence on products a “common contributor” to suitability failings

Compliance reviews are increasingly leading to enforcement action

The regulator expects the new structure to increase compliance efficiency and effectiveness

conflict of interest illustration

Take these four steps to avoid mistakes that can cost advisors their livelihood