Monthly Archives: September 2016

DOL Fiduciary Rule – Begin Preparation Now

Posted on September 26, 2016 by cindihill

It may seem like the effective date of the DOL Fiduciary Rule is far off – April 2017; however there is much preparation to begin now.  My clients will be receiving a survey from me this week that will help … Continue reading →

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SEC will Examine Firms that Hire Previously Discipline Advisers

Posted on September 13, 2016 by cindihill

From Cipperman Compliance Services LLC The SEC’s Office of Compliance Inspections and Examinations has launched a “Supervision Initiative” to examine supervision practices of investment advisers that employ previously-disciplined advisers or brokers. OCIE will focus on a firm’s compliance practices including … Continue reading →

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FinCEN Update: Advisory on Email Compromise Fraud Schemes

Posted on September 7, 2016 by cindihill

FinCEN Issues Advisory to Financial Institutions on E-Mail Compromise Fraud Schemes The Financial Crimes Enforcement Network (FinCEN) today issued an advisory to help financial institutions guard against a growing number of e-mail fraud schemes in which criminals misappropriate funds by … Continue reading →

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