By Clifford E. Kirsch
- Registration reporting and recordkeeping principles
- Suitability and most sensible execution criteria
- Ways of minimizing legal responsibility within the occasion of felony lapses, by means of documenting good-faith compliance efforts
- The implementation of a tailored compliance application which can support observe and stop unlawful behavior in the company
Broker-Dealer legislation is choked with sensible feedback on the right way to most sensible conform to necessities in such parts as digital buying and selling, safeguarding client info, buying and selling table actions and company continuity making plans. fresh updates have coated new FINRA Rule 2111 which governs what are and what will not be appropriate patron transactions • the SEC’s renewed emphasis on pursuing insider buying and selling claims less than 10b5-2 • the SEC’s lately followed Rule 15c3-5 on allocation among clearing company and introducing dealer in reference to danger administration controls for clearing businesses supplying industry entry • and a brand new bankruptcy 21A on outsourcing matters for monetary prone firms.
Updated at least one time a yr, Broker-Dealer legislation is a useful source for broker-dealers, securities legal professionals, compliance officials, and regulators.
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Broker-Dealer Regulation (October 2016 Edition): 4 by Clifford E. Kirsch
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