It is impossible to rely on systems that ignore the tremendous amount of data available to us in the transaction history. Post-trade analysis that begins and ends with the days trading activity is simply ineffective.
The SEC is proposing a new rule 206(4)-4 under the Investment Advisers Act of 1940 that would require SEC-registered investment advisers…
The NFA recently amended NFA Compliance Rule 2-46 to impose a $200 late fee for each business day that members are late with their filings. This late fee will become effective for all such filings starting on September 30, 2016.
A password manager is a much better way to keep track of your passwords and ensure they are all secure and up to industry standard. Browser-saved password don’t offer a lot and can sometimes lead people into the pitfalls of poor password management.
Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.