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Advisor Group Continues Growth with Hire of Two Industry Executives

Advisor Group, a network of independent wealth management firms, has hired two executives for its business strategy and compliance operations. Dimple Shah joined as...

FINRA Report Highlights Compliance Deficiencies of Regulation Best Interest and Form...

The Financial Industry Regulatory Authority has published its 2022 Examination and Risk Monitoring Program report, outlining the initial findings of its review of the...

Pacific Oak Hires Chief Compliance Officer

Pacific Oak, a sponsor, manager and distributor of real estate-focused alternative investment programs, has hired Matthew Mai as chief compliance officer. In his new role,...

Aurora Securities Names President and Chief Compliance Officer

Aurora Securities Inc., an independent broker-dealer, has hired Lori Kamen to serve as its president and chief compliance officer. She will also serve as...

iCapital Network to Buy AI Insight

iCapital Network, a financial technology platform focused on alternative investing for the asset and wealth management industries, has agreed to purchase the assets of...

SEC and FINRA to Host Online Forum on Regulation Best Interest...

The Securities and Exchange Commission has released the agenda and panelists for the October 26, 2020 roundtable where SEC staff and FINRA will discuss...

SEC and FINRA to Hold Roundtable on Regulation Best Interest and...

The Securities and Exchange Commission will hold a roundtable with the Financial Industry Regulatory Authority (FINRA) to discuss initial observations on the implementation of...

Smarsh Acquires Cybersecurity and Compliance Software Firm

Smarsh, a compliance and regulatory technology firm for wealth management companies, has purchased Entreda, a provider of cybersecurity risk and compliance management software and...

Wedbush Hires Compliance Veteran as SVP and Chief Compliance Officer

Wedbush Securities, an independent broker-dealer, has hired financial services veteran Michael McMaster as its senior vice president and chief compliance officer. In his new role,...

SEC Further Extends Reporting and Proxy Deadlines, FINRA Postpones Arbitration Meetings

The Securities and Exchange Commission has extended the filing periods covered by its previously announced conditional reporting relief for certain public company filing obligations...
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