Compliance Solutions for Investment Advisers

Monthly Archives: January 2014

FINRA Identifies 2014 Examination Priorities

January 26, 2014   Scott

In a letter to all FINRA member firms (the “FINRA Priorities Letter”), FINRA set forth its regulatory and examination priorities for 2014, highlighting significant risks and issues that could adversely affect investors and market integrity in the coming year. FINRA’s 2014 examination priorities are as follows: Cybersecurity.  FINRA stated that its primary focus will be

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Trained in Compliance = Liable for Insider Trading?

January 19, 2014   Scott

Mathew Martoma attended hedge fund SAC Capital Advisors LP’s annual compliance training sessions two years in a row, an officer with the firm said, testimony that could bolster the insider-trading case against the former portfolio manager, according to the Wall Street Journal. The testimony by John Casey, an SAC compliance officer, could buttress the government’s contention

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SEC 2014 Exam Priorities

January 09, 2014   Scott

Dear Compliance Professional, The Securities and Exchange Commission today announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies, exchanges and other self-regulatory organizations, hedge funds, private equity funds, and transfer agents. “We are publishing these priorities to highlight areas

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