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United States

Jason Wallace

Adviser charged for dodging SEC examiners, using COVID-19 excuse

Jun 24 2020

FLORIDA/NEW YORK (Thomson Reuters Regulatory Intelligence) - *To read more by the Thomson Reuters Regulatory Intelligence team click here: http://bit.ly/TR-RegIntel

U.S. state regulators' annual report cites uptick in cybersecurity failures

May 29 2020

SAN DIEGO/NEW YORK(Thomson Reuters Regulatory Intelligence) - (*To read more by the Thomson Reuters Regulatory Intelligence team click here: http://bit.ly/TR-RegIntel)

IA BRIEF: How advisers can meet continuity challenges as coronavirus impact spreads

Mar 16 2020

SAN DIEGO/NEW YORK - As the number of coronavirus cases climbs globally, with more and more cases appearing in the United States investment advisers must be prepared for possible business disruptions.

IA BRIEF: Three vendor management practices to battle cyber risk

Mar 06 2020

New York (Thomson Reuters Regulatory Intelligence) - The U.S. Securities and Exchange Commission has highlighted three management practices to enhance vendor safety, as part of a recent report identifying industry practices and approaches to managing and combating cybersecurity risk.

IA BRIEF: SEC weighs FINRA’s approach to testimonials in seeking to modernize ad rule

Apr 17 2019

NEW YORK(Thomson Reuters Regulatory Intelligence) - U.S. Securities and Exchange Commission's policy makers are considering ways to modernize its rules on investment-adviser advertising, and looking to an industry self-regulator as a potential model.

IA BRIEF: Advisers have gotten 'fair warnings' about fees

Feb 14 2019

NEW YORK (Thomson Reuters Regulatory Intelligence) - Investment advisers have been given fair warning about the risks and compliance considerations related to advisory fees.

Reducing the greatest cyber security risk -- the one from within

Jan 29 2019

NEW YORK(Thomson Reuters Regulatory Intelligence) - The greatest cyber security risk to an investment advisory firm may be its staff, therefore a training and education program that addresses relevant cyber threats is vital.

Unauthorized electronic communication draws suspension, fine in FINRA case

Dec 18 2018

NEW YORK(Thomson Reuters Regulatory Intelligence) - In Financial Industry Regulatory Authority's (FINRA's) most recent disciplinary report, a case involving a registered representative's use of unauthorized electronic communications leads to a fine and temporary suspension.

IA BRIEF: Trade-data analytics help firms detect insider trading and policy violations

Sep 19 2018

SAN DIEGO/NEW YORK (Thomson Reuters Regulatory Intelligence) - Testing is a key attribute of an advisory compliance program, and examination of trading data is one element of testing that can protect a firm from unnecessary risk.

IA BRIEF: As electronic messaging spreads, advisers need defined policies

Sep 04 2018

NEW YORK(Thomson Reuters Regulatory Intelligence) - The practice of electronic messaging expanding among registered investment advisers and firms must clearly define how they approach the use of services, platforms and permitted devices.

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