To ensure you’re compliant, approach social media the same way as other forms of advertising and correspondence
Many compliance calls come as a result of potential conflicts of interest
Suitability issues are frequently questioned
Estimated shortfall to comply with new leverage rule is US$68 billion, says Fitch
Knowledge First must file report by May 2015
Regulator alleges compliance deficiencies at three firms headed by Joe Dwek
Asking first can prevent problems down the road
Regulator plans to examine cost sharing agreements and reps selling syndicated mortgages
U.s. regulator to focus on fraud and sales practices, among other issues
Concerns about suitability top the list