Posts from December 2012.

Back in January, the Securities and Exchange Commission (“SEC”) issued guidance regarding Registered Investment Adviser’s (“RIA’s”) use of social media in a National Examination Alert, Investment Adviser Use of Social Media (the “Alert”).  Part of the Alert dealt with third-party...

Recent settlements continue to show how regulators are cracking down on Anti-Money Laundering ("AML") violators of all shapes and sizes.  This week HSBC, Europe's largest bank by market value, agreed to a settlement after facing accusations it transferred funds through...

Recently, the Financial Industry Regulatory Authority (“FINRA”) has requested the Securities and Exchange Commission (“SEC”) to approve amendments to Rules 2267 and 8312, which would increase disclosure requirements and promotion of their BrokerCheck program. In an attempt to facilitate and...

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