Dodd Frank Update
Dodd-Frank, born of the fires ignited by the 2008 Financial Crisis, has had a rocky existence, from its writing and […]
Compliance Reminders
Anti Money Laundering Annual Review Every Independent Introducing Broker and Futures Commission Merchant must have an Independent AML Review every […]
Investment Advisor Custodial Agreements could mean “surprise exams” by…
When they say the devil is in the details, take it to heart; especially investment advisors who have separate custodial […]
FinCEN issues an advisory on AML/CFT deficiencies
On April 5, 2017, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force […]
President issues executive order regarding review of regulations
On April 21, 2017 the President signed an executive order requiring the Secretary of the Treasury to review all regulations […]
Did you File a Tax Return Extension? Note Your…
If you or your tax professional has filed an extension, please note the following deadlines for filing 2016 tax returns: Partnership […]
Important Regulatory Deadlines
NFA Certified Audit Deadlines Introducing Brokers must file their annual certified audit no less than 90 days after fiscal […]
Department of Labor’s Fiduciary Rule Affects Financial Advisors, Fees,…
The Department of Labor’s fiduciary rule that affects financial advisors, fees, and mutual funds is to go into effect in […]
Amendment to NFA Compliance Rule 2-36: requirements for forex…
The CFTC recently approved NFA’s amendment to NFA Compliance Rule 2-36, which requires forex dealer members to provide customers, upon […]