December 2019 Broker-Dealer Newsletter
ACA Broker-Dealer Services invites you to download the latest edition of our newsletter via the link below. This issue highlights:
- 2019 Broker-Dealer Year-End Compliance Checklist
- Advertising Regulation and Disclosure Innovations
- FINRA Releases Resources for Regulation Best Interest
- Proposed Sales Practices Rules for Transacting in Shares of Leveraged/Inverse Investment Vehicles
- FINRA to Review Members for Regulation Best Interest Preparedness
- 2019 Examination Findings Report
- Regulatory Notices, Updates, and Rule Changes
- Important Dates
If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford.
Broker-Dealer Quick Reference Guide
ACA has put together a Broker-Dealer Quick Reference Guide to assist firms with understanding compliance standards. Click here to request a copy of the guide.
Related insights
ACA/NSCP 2024 AI Benchmarking Survey Results
To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.
- Compliance
- Artificial Intelligence (AI)
Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
- ACA News
- Artificial Intelligence (AI)
- Compliance
Mastering Employee Compliance: Key Strategies for CCOs
Key strategies can help you effectively manage employee compliance, foster a culture of adherence, and support the organization's overall success.
- Compliance
- ComplianceAlpha