Advisers that owe the North American Securities Administrators Association (NASAA) annual fees, and broker-dealers renewing membership with FINRA take note – your fees are due December 12. FINRA posted Notice 11-51 earlier this month reminding advisers and broker-dealers of the approaching payment deadline to remain in good standing for the coming year. Late payers risk […]
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
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Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.