Marianna Shafir Esq.
ENTRIES BY Marianna Shafir Esq.

SEC’s New Investment Adviser Marketing Rule

The SEC has finalized the Advertising Rule (206(4)-1) under the Investment Advisers Act to modernize rules that govern investment adviser ads and payments to solicitors.

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Email Archiving: The Broker-Dealer’s First Line of Defense With Regulatory Penalties

Broker-dealers can avoid being penalized by regulators if they can demonstrate that they are proactively and sufficiently capturing and monitoring emails.

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‘Tis the Season for Regulatory Enforcement

Recap of the latest OCIE risk alert, focusing on common violations to the “Compliance Rule,” and FINRA enforcement actions against firms and individual brokers.

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Firms Use Archived Email as Evidence to Avoid Penalties

Recent FINRA actions against individual brokers who were not compliant with recordkeeping and supervision obligations, as evidenced through archived emails.

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FCA Director Says Recordkeeping Regulatory Obligations Unchanged During Pandemic

Financial services organizations in the UK must continue to prioritize the compliant capture, storage and oversight of new content channels.

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Marianna Shafir Esq.

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