📣 The FINRA Advertising Regulation Conference is back! Designed for new and experienced communications compliance and marketing professionals—you won't want to miss the forward-looking discussions on new rules, effective practices, regulatory priorities, emerging technologies and more! Register for #FINRAAdReg today ▶️ https://bit.ly/3y8NGHS
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This change aims to address the current regulatory ambiguity, which has led to overlapping and sometimes conflicting enforcement actions from these agencies. By establishing these clear distinctions, the FIT21 Act seeks to create a more predictable and stable regulatory environment for digital assets, reducing the SEC’s scope in certain areas while strengthening the role of the CFT.
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Download the 2024 CCO Playbook to ensure nothing slips through the cracks with the ever-changing compliance landscape!
Our 2024 U.S. CCO Playbook is here! This essential guide dissects the latest SEC and FINRA findings to help your firm navigate evolving regulatory complexities. “Compliance programs are currently contending with one of the most active regulatory landscapes while at the same time navigating market ebbs and flows and global financial trends," said our CEO Michael J. Stanton. "The annual CCO Playbook provides compliance professionals with both a retrospective of the past year, including a detailed look at how to best avoid areas of noncompliance noted by regulatory bodies, as well as a predictive outlook for the coming months.” https://lnkd.in/egwnXbzg
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Check out our 2024 CCO Playbook 👇👇👇
Our 2024 U.S. CCO Playbook is here! This essential guide dissects the latest SEC and FINRA findings to help your firm navigate evolving regulatory complexities. “Compliance programs are currently contending with one of the most active regulatory landscapes while at the same time navigating market ebbs and flows and global financial trends," said our CEO Michael J. Stanton. "The annual CCO Playbook provides compliance professionals with both a retrospective of the past year, including a detailed look at how to best avoid areas of noncompliance noted by regulatory bodies, as well as a predictive outlook for the coming months.” https://lnkd.in/egwnXbzg
COMPLY’s 2024 U.S. CCO Playbook Details Current Regulatory and Market Outlook to Provide Advisory Firms with Comprehensive Guide for the Coming Year
comply.com
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Sharing the most recent installment of our monthly Dual Registrant Regulatory Roundup, authored by myself and Issa Hanna. In this month's edition, we touch on the SEC's adoption of amendments to Reg S-P, FINRA's guidance regarding its remote office rules, and FINRA FAQs focused on the use of artificial intelligence in advertising. To explore the latest developments and ensure you receive this newsletter directly in your inbox, please subscribe. #BrokerDealers #InvestmentAdvisers #RegulatoryRoundup https://lnkd.in/eFRrEX7b
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🎙️ In Episode 17 of the Block and Tackle Show, we're excited to host Giovanni Caruso as he and Karl Block discuss SEC enforcement actions and policies. Join us as we uncover the implications of these developments for auditors and corporations alike. This is an essential discussion for anyone invested in understanding the evolving landscape of financial regulation and auditing practices. Don’t miss it! Watch now at www.blockandtackleshow.com #SECActions #Auditing #PublicCompanies #FinancialRegulation #CryptoDebate #CorporateGovernance #AuditRisks #SmallCapCompanies
Navigating SEC Regulations: Insights from Giovanni Caruso
https://www.youtube.com/
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Compliance in Social Media Promotions: The Critical Role of Securities Attorneys In today’s digital age, social media has become a powerful tool for financial firms to reach potential clients. However, leveraging this platform comes with its own set of regulatory challenges. https://lnkd.in/gPCP7ZPZ #compliance #FINRAcompliance #investorprotection #bhseclaw
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🏦 Wondering what FINRA is and how it impacts your business? Discover everything you need to know about the Financial Industry Regulatory Authority in our new blog post#FINRA #FinancialIndustry #ComplianceExplained https://ow.ly/KMon50SXukp
What is the FINRA?
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M&A and Mining Lawyer | Securities | Construction | Partner and National Leader of Dentons Canada’s Corporate Group
The Ontario Securities Commission’s Investor Advisory Panel 2023 annual report notes that rules limiting advice provision on digital trading platforms can prevent unsophisticated investors from obtaining information that could lend increased protection. Bennett Wong recently spoke with Law Times about the report’s key aspects, including the impact of digitalization on financial services, the influence of social media on investor decisions and the need for improved investor protection measures. Read the article: https://ow.ly/FvBS30sFjk5 #Securities #Investors #OntarioSecuritiesCommission #InvestorAdvisoryPanel #FinancialServices
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Client focused legal advice on buy/sell transactions around the world. Loves a challenge.
The Ontario Securities Commission’s Investor Advisory Panel 2023 annual report notes that rules limiting advice provision on digital trading platforms can prevent unsophisticated investors from obtaining information that could lend increased protection. Bennett Wong recently spoke with Law Times about the report’s key aspects, including the impact of digitalization on financial services, the influence of social media on investor decisions and the need for improved investor protection measures. Read the article: https://ow.ly/Hpfs30sF7Uo #Securities #Investors #OntarioSecuritiesCommission #InvestorAdvisoryPanel #FinancialServices
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Owner of My RIA Lawyer, Outsourced CCO and General Counsel to SEC registered firms, Securities Attorney, Compliance Nerd, Speaker, Educator, Lip-sync enthusiast
Is one of your biggest fears a run in with the regulators? While compliance is an ongoing task that firms have to grapple with, if you are a broker-dealer or another entity registered under FINRA this quick video might give you some processes to implement to keep you and your firm out of FINRA regulatory hell! Watch the full video here: https://lnkd.in/gkPe9Y8E
