Which Regulator Packed the Most Fines in 2015? RegTelligence™ knows. Do you?
The 2015 RegtelligenceTM numbers are in! Our financial regulatory intelligence database, compiled from over 30,000 investment advisors, dually-registered firms and affiliates with over 10 years of data covering 290 financial regulators worldwide, reveals some very interesting insights.Full Article
SEC Announces 2016 Examination Priorities
New Areas of Focus Include Liquidity Controls, Public Pension Advisers, Product Promotion, Exchange-Traded Funds and Variable AnnuitiesFull Article
2016 FINRA Regulatory and Examination Priorities Announced
FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts of interest and ethics; supervision, risk management and controls; and liquidity— and then discuss more narrowly focused topics. As always, there is a tension between our desire to be brief with this letter while also addressing the many areas of potential concern that can arise across the breadth of the securities industry.Full Article