March 10, 2020 SEC Continues Scrutiny of Private Fund Cross Trades The SEC continues to scrutinize principal and cross-trade transactions in the private fund world. Are such trades illegal? No. In…
January 25, 2020 Takeaways from FINRA’s Examination Priorities 2020 The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…
October 17, 2019 Data Quality the Key to Meeting Challenge and Opportunity of Cost Transparency Technology has done much to increase cost transparency in recent years, yielding considerable power – and savings – to consumers….
July 12, 2018 With New Risk Alert, SEC Doubles Down on Best Execution On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by…
December 14, 2017 Transparency Spreads to FINRA Exam Findings On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…