broker-dealer

Insights and guidance from ACA's team of experienced compliance and technology professionals.

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Potential Risks for Banks Using Third-Party Broker-Dealers
January 7, 2019

Third-party risk management is a key priority for banking regulators like the Office of the Comptroller of the Currency (“OCC”). Every one of the many thousands of service providers a bank may use exposes them to different levels of risk - some of which can be serious and costly. This is why banking regulators are requiring strong, risk-based due diligence and ongoing monitoring before and after a third party is hired. Roy Kim explains what you need to know.

October 5, 2018

On August 12, 2018, the Securities and Exchange Commission (“SEC”) sent a clarification letter to the Financial Industry Regulation Authority (“FINRA”) with respect to broker-dealers using a third-party r

October 4, 2018

The Financial Industry Regulatory Authority’s (“FINRA”) enforcement division brought 129 disciplinary actions against FINRA members during the first half of 2018.

July 24, 2018

In July 2018, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 18-20 (“Regulatory Notice”) with respect to digital assets.

June 14, 2018

On July 24, 2018, ACA and Sidley Austin will offer a broker-dealer focused seminar for in-house counsel and compliance officers. In this seminar, expert panelists from FINRA, Sidley, ACA and the industry will discuss topics relevant to the regulatory requirements unique to broker-dealers.

June 14, 2018

Please join us for a complimentary workshop focused on helping broker-dealer and investment adviser compliance professionals deal with today’s tough regulatory challenges.

May 16, 2018

Look for ACA at the 2018 FINRA Annual Conference.

May 14, 2018

Please save the date for a seminar designed to assist mutual fund distributor broker-dealer CCOs in dealing with today’s tough challenges.

US Turns Up AML Compliance Heat on RIAs
May 2, 2018

On May 11, 2018, broker-dealers and other financial institutions currently covered by the US Anti-Money Laundering (AML) regime will need to become compliant with FinCEN’s new customer due diligence (CDD) requirements.

April 25, 2018

On April 18, 2018 the Securities Exchange Commission (“SEC”) held a meeting in which they requested comment regarding the “Standards of Conduct for Investment Professionals” proposal that would affect how services are provided to retail customers of Broker-Dealers (“BDs”) and Investment Advisers