The Commission’s new regulatory agenda lists several upcoming new IA and B-D rules—all of which the agenda states are due to be finalized in April
See what's inside FinCEN's new AML rule proposal for IAs, more reasons to be on top of off-channel communications, the demands of the new Form ...
FinCEN wouldn’t mandate that an RIA’s CCO oversee its AML program. However, it does point out that “the presence of a compliance officer may reduce ...
You have until April 15th to comment on the FinCEN proposal
"The challenges to financial stability that AI may pose in the future will require new thinking on system-wide or macro-prudential policy interventions. Regulators and market ...
This is FinCEN's proposed rule to require investment advisers to file SARs
This is FinCen's proposed AML rule for investment advisers
Commission staff uncovered Cambridge’s misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at broker-dealers. Cambridge has initiated a ...
During the time period that NMIS failed to maintain and preserve off-channel communications that its personnel sent and received related to NMIS’s broker-dealer business, NMIS ...
Oppenheimer’s supervisors, who were responsible for supervising junior employees, routinely communicated off-channel using their personal devices. In fact, senior management, managing directors, and other Oppenheimer ...