SEC - Complyport UK Consultancy Service

Misuse of personal devices at work

You may have seen an article we wrote in March this year on the risks associated with mobile messaging and how regulating record keeping practices in financial services firms is […] [...]

Troublesome Texts: Managing the Risks of Mobile Messaging

Regulating record-keeping practices, whilst important, has not always been a top priority for financial services regulators around the world—especially as the monitoring of such activity (to a greater or lesser […] [...]

Unbundling Investment Research costs from Trade Execution costs (US)

Of relevance to: All US sub-advisers to FCA-regulated MiFID managers Key date: Applicable from 3 January 2018 until 3 July 2020 In response to concerns that investors could lose access […] [...]

AML Regulations for Registered Investment Advisers

On 25 August 2015, the Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of the Treasury, proposed new rules (the Proposed Rules), requiring “certain” registered investment advisers […] [...]

Registered Investment Advisers – Personal Account Dealing Guidance

In late June 2015, the United States Securities and Exchange Commission (SEC) Division of Investment Management released Guidance Update No. 2015-03 entitled “Personal Securities Transactions Reports by Registered Investment Advisers: […] [...]

Tag: SEC

Misuse of personal devices at work

Troublesome Texts: Managing the Risks of Mobile Messaging

Unbundling Investment Research costs from Trade Execution costs (US)

AML Regulations for Registered Investment Advisers

Registered Investment Advisers – Personal Account Dealing Guidance

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