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Broker-Dealer: Regulatory Compliance Services

Overview

Performance Advertising Disclosures And Reviews
Due Diligence
Regulatory Examinations & Formal Investigations Counsel
Written Policies, Procedures And Internal Controls
Creating And Maintaining Broker-Dealer Compliance Programs
Contracts, Agreements And Other Documents
Form ADV And Client Disclosure Documents
Risk Management
Family Office
California ERISA Attorneys

For more information or to speak with a securities attorney, call our California law office directly at 619.298.2880 or contact us online.

Insights

Legal Risk Management Tips

Why Advisory Fees and Expenses Remain a Continued Regulatory Focus
11.18.2020
The Importance of Succession Planning
05.29.2020
Cybersecurity Considerations in the COVID-19 Era
04.28.2020
Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs
03.20.2020
Considerations for 2020 and Focus on the SEC Exam Priorities
02.28.2020
At Last - The SEC Proposes Modernization of the Advertising Rule
11.25.2019
The California Consumer Privacy Act (CCPA): What You Should Do Now to Prepare
06.2019
WSPs: Windsor Street Capital, LP fka Meyers Associates, L.P.
04.2019
Common Compliance Violations Seen in 2018
09.2018
Broker-Dealers, It’s Time To Review Your Written Supervisory Procedures
11.2016
Legal Considerations For Your Cybersecurity Program
08.2016
Regulatory Requirements And Risks Associated With Conducting Due Diligence On Third-Party Service Providers
07.2016
CCO Liability: What You Need To Know
06.2016
Anti-Money Laundering As Applied To Investment Advisers
04.2015
What The New FINRA Supervisory Rules Mean For Your Brokerage Practices
09.2014
Broker-Dealer Registration
04.2014
Is Broker-Dealer Registration On The Horizon For Private Fund Managers?
04.2013
Fall 2012 Regulatory Compliance "Hot Topics"
10.2012
How Compliance Failures Can Lead To Enforcement
09.2012
FINRA Rule 5131 – How It Impacts Broker-Dealers And Private Funds
07.2011
The Evolving World of Compliance
10.2009

Industry Publications

How to Improve Your Compliance Program
Investment Adviser Association’s (IAA) Compliance Corner, 10.2020
Tips on How to Prepare for Your Next Examination: Part 2
National Society of Compliance Professionals (NSCP) Currents , 04.2019
Common Compliance Violations Seen in 2018
Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 01.2019
What You Need to Know About Expungement
Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 04.2017
Advisors: How to Prepare for the 2015 U.S. Regulatory Environment
Thomson Reuters Accelus, 01.12.2015
Listen Up CEOs: Top Things Your CCO Wants You to Know
Wolters Kluwer: Practical Compliance & Risk Management For the Securities Industry, 09.2014
Privacy Best Practices and Updates on Regulation S-P
National Society of Compliance Professionals (NSCP) Currents , 11.2009
Are Your Employees Risking Your Business?
Bank Advisor Magazine , 09.2008
The Changing Landscape of Disclosure: Proposed Changes to Form ADV Part 2
National Society of Compliance Professionals (NSCP) Currents , 05.2008
Developments Under NASD Rule 3012 – Supervisory Control Systems
National Society of Compliance Professionals (NSCP) Currents , 05.2006

Events

The SEC's New Proposed Advertising Rule
Webinar, 12.03.2019
Creating a Business and Compliance Risk Inventory
Napa, CA, 10.10.2017
Regulatory Examinations
Washington, D.C., 10.16.2016
Simplifying Compliance for the Complex Firm
08.11.2015
New Regulations, Hot Topics and What to Expect in 2015
San Diego, CA, 07.11.2014
Aligning Compliance Resources for Advisory Organizations
Savannah, GA, 03.31.2014
Adviser Issues in the Institutional and Retirement Marketplace
Las Vegas, NV, 11.03.2009

Blog Posts

Area of Focus for Your Annual Review: Code of Ethics
Securities Law & Corporate Counsel Blog, 10.27.2020
SEC Proposes a Big Exemption to Assist Small Businesses in Raising Much-Needed Capital
Securities Law & Corporate Counsel Blog, 10.20.2020
Getting Ahead of the Curve: FINRA’s Areas of Focus for 2020
Securities Law & Corporate Counsel Blog, 03.11.2020
Charging Fees for Inactive Accounts can be as Problematic as Churning
Securities Law & Corporate Counsel Blog, 10.17.2019
SEC: Prudential Failed to Disclose Conflicts of Interest to Fund Boards
Securities Law & Corporate Counsel Blog, 10.15.2019
OCIE Risk Alert: Guidance for Compliance, Supervisory and Disclosure Procedures
Securities Law & Corporate Counsel Blog, 09.17.2019

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