Monthly Archives: September 2016

DOL Fiduciary Rule – Begin Preparation Now

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

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

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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