"This rulemaking targets proprietary trading funds (PTFs), private funds, and others who make money by buying low and selling high in the Treasury market, while ...
"Absent today’s reforms, our capital markets and financial regulators would continue to lack key data, and therefore limited oversight, over an unregistered segment of the ...
In 1992, Bodner pleaded guilty in federal court to misdemeanor fraud in connection with his use of an impersonator to take his Series 7 exam ...
A peer shares an example of a gifts and entertainment compliance policy and procedure
This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.
Much talk is heard about the need for private fund advisers to report their beneficial owners under new FinCEN rules. Despite new FAQs, questions remain ...
Annually quiz staff on where they’re getting gifts from, and use the occasion to remind them they do need to report them to compliance
Heed these lessons: If a client questions you on returns, do the math. Be straight with them. And backup your data
Compliance suggestions tied to gifts and entertainment, who has to file under new FinCEN rules, why you must be straight in answering client questions and ...
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