FINRA Priorities and Hot Topics 2022
Our experts will discuss how the recently released 2022 examination priorities may impact you and your compliance program.
The Financial Industry Regulatory Authority (FINRA) requires broker-dealers to “maintain a system to supervise the activities of their associated persons and to achieve compliance with securities laws and regulations and FINRA’s rules.”
Our broker-dealer services division in our compliance consulting firm can help implement sound compliance and supervisory programs that address appropriate FINRA and Securities and Exchange Commission (SEC) regulations. Our broker-dealer compliance consultants have years of regulatory experience, professional designations, and Certified Anti-Money Laundering Specialists (CAMS) Certifications.
We understand that the size and nature of a broker-dealer can vary widely, from market maker, to Funding Portal (FP-BD), to upcoming Capital Acquisition Broker (CAB). As a result, we take a firm’s unique characteristics into account when designing, updating, and/or implementing compliance policies and procedures.
To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.
The SEC issued three important updates regarding cybersecurity rule proposals. These updates represent a shift that normalizes standards and increases governance expectations.
Responding to changes in "technology, advisory services, and custodial practices," the SEC’s proposal expands the current rule’s coverage to all client assets where the adviser has custody.
The SEC recently adopted an amendment to reduce the time to settle a security purchase or sale from T+2 to T+1 and added Rule 15c6-2.
The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.
Our experts will discuss how the recently released 2022 examination priorities may impact you and your compliance program.
Join us Tuesday, April 19 at 11:00 AM EDT for an in depth discussion about the proposed rules and their anticipated impact on private fund businesses (including compliance and performance teams).
The FINRA release of Regulatory Notice 20-21 on July 1, 2020 includes clarified guidance for calculating and presenting IRR for use in retail communications by FINRA member firms. Join ACA for a complimentary webcast discussing the main areas of impact to broker-dealers and FINRA member placements agents.
ACA Expands Communication Channel Capture to Strengthen Compliance Oversight
ACA Aponix Celebrates 10-Year Anniversary and National Cybersecurity Month. Reflecting on a decade of cybersecurity leadership, technological advancement, and industry recognition for financial services
ACA remembers and honors the life of Michael Lehman, the co-founder of Decryptex, now known as our Market Abuse Surveillance solution, a cornerstone of ACA’s ComplianceAlpha® platform today.