Compliance Archives - FINIQ

Are you selling securities legally?

Eve Tan — Tue, 19 Mar 2024 20:22:49 +0000

In the public capital markets and in particular markets involving retail investors, SEC regulations and FINRA rules are straight forward when it comes to the definition of a security and what constitutes securities activity. In the private capital markets, not …

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SEC adopts the Private Fund Advisor Rule (1A-5955)

Eve Tan — Tue, 19 Mar 2024 20:47:45 +0000

On August 23, 2023, the Securities and Exchange Commission (SEC) adopted new rules and amendments to the Investment Advisers Act of 1940 that significantly affect the operations of private fund managers. While the new regulations do not directly affect broker/dealers, …

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Takeaways from the FINRA 2024 Annual Conference

Eve Tan — Wed, 10 Jul 2024 13:17:57 +0000

Every spring, hundreds of compliance and legal professionals from across the financial industry head to our nation’s capital for the Financial Industry Regulatory Authority (FINRA) Annual Conference. The purpose of the conference is for FINRA and Member Firms to meet …

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FINRA Disciplinary Actions September 2024: Key Takeaways

Eve Tan — Tue, 22 Oct 2024 17:02:12 +0000

In its latest report, FINRA highlighted several significant disciplinary actions for September 2024, targeting both firms and individuals for violations of securities laws and regulatory requirements. These enforcement actions are crucial in maintaining integrity and investor protection within the financial …

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Market Uncertainty: Signals of a Recession and Strategic Optimism for 2025

Eve Tan — Mon, 09 Dec 2024 16:08:28 +0000

Market euphoria? Beware, we may be entering recession. The US has been adding about $1T in national debt every 100 days since February of 2024– crisis spending, supposedly during economic expansion. What happens when that spending is reduced? The massive wins …

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Key Takeaways from FINRA Disciplinary Actions – Nov’24

Eve Tan — Mon, 09 Dec 2024 17:56:58 +0000

The FINRA Disciplinary Actions for November 2024 highlight ongoing efforts to enforce compliance and maintain investor protection. This month’s cases reveal significant penalties for anti-money laundering (AML) failures, supervisory lapses, and violations of Regulation Best Interest (Reg BI). Below is …

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Navigating FINRA’s Regulatory Priorities: Key Takeaways for 2025

Eve Tan — Tue, 04 Mar 2025 16:59:47 +0000

The 2024 FINRA Annual Regulatory Oversight Report serves as a crucial guidepost for firms navigating the evolving compliance and risk landscape. As regulatory scrutiny intensifies across financial markets, firms must ensure their compliance frameworks are robust, proactive, and adaptable to …

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