COVID-19 caused many firms to put Reg BI compliance on the back burner. Here are three key lessons to help firms get compliant by
David is a published author, attorney, and contract specialist with over 15 years of experience in the compliance field. As a recognized financial services compliance expert, David frequently shares his insights on national radio talk shows, including Bloomberg radio. He has participated in and chaired panel presentations at the ABA Business Law Annual Conference, conducted original empirical research on international contracting methods, and was a member of the New York State Bar Association’s delegation to the United Nations Commission on International Trade Law (UNCITRAL).
He currently undertakes market research on MiFID II, communication compliance, emerging market economies, and the effective use of fintech/big data for compliance process evolution. Current projects include educating financial institutions on MiFID II, MAR, Dodd-Frank, GDPR, and the compliance obligations of crypto exchanges.
3 Take-Aways from SIFMA’s Reg BI Forum
As most wealth management firms know, by June 30, 2020 broker-dealers registered in the United States must comply with Regulation Best Interest.
Are Compliance Teams Feeling the Impact of RegTech?
Recently, Octavio Marenzi, CEO of leading research and advisory firm Opimas, posted the chart below on LinkedIn, which illustrated the disparity between the staffing
Seeing the Cloud Through the Fog of Brexit
With the March 29 deadline for a Brexit deal quickly approaching, companies around the globe are contemplating the regulatory implications on their operations and
Mastering Householding to Increase Returns and Reduce Risk
Financial regulators worldwide are enforcing suitability and supervisory requirements designed to protect investors working with wealth management firms, retail brokers and registered investment advisors.