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Keyword: Compliance

277 results found
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 March 1, 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 March 1, 2019
  • 14:45
Gavel and legal books

Renee Michelle Penko will spend 30 days in jail

  • By: IE Staff
  • January 10, 2019 February 14, 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

compliance puzzle

Some registered firms are not establishing an adequate compliance system

compliance puzzle

If you can’t read and digest all the rules, make sure to understand the principles behind them