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Broker-Dealer Fined for Failing to File SARs, Resources for Implementing the Marketing Rule and DOL PTE 2020-02, SEC Update on Proxy Advisory Firms and More: Lessons Learned and Worth Reading for June 2021 | Hardin Compliance Consulting LLC

Lessons Learned - SEC Charges Broker-Dealer for Failing to File SARS. The SEC settled charges with GWFS Equities Inc. for failing to file suspicious activity reports (“SARs”). ....

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DOL Weighs In With Cybersecurity Guidance, FINRA Issues Reminders on Options and Predispute Arbitration Agreements, NASAA Releases Annual State Advisers Report, Cayman Extends CRS Compliance Form Deadlines: Regulatory Update for June 2021 | Hardin Compliance Consulting LLC

For Investment Advisers and Broker-Dealers
DOL issues Cybersecurity Guidance. On April 14, 2021, the U.S. Department of Labor (“DOL”) Employee Benefits Security Administration (“EBSA”) issued cybersecurity guidance directed towards ERISA plan sponsors and ERISA fiduciary advisors. While the guidance appears similar to SEC’s advice, there is one noticeable difference: the DOL says firms “should” have a reliable annual third-party audit of security controls. As part of this audit, EBSA expects to see audit reports, audit files, penetration test reports, and any other analyses or reviews of cybersecurity practices. EBSA also wants documented corrections of any weaknesses identified in the independent third-party analyses. What are the implications to firms subject to this guidance? Will the DOL consider it a breach of fiduciary duty if a firm does not hire a third party to conduct an audit of its security controls? Can a firm do this assessment internally? Time will ....

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Senior Compliance Specialist at Avbob Mutual Society

Apr 10, 2021
RESPONSIBILITIES INCLUDE:
Drive a compliance culture that focuses on proactively establishing a compliance advisory support functionality that provides technically sound and mature compliance advice at all levels.
Work hand in hand with management and staff to identify and manage regulatory risk.
Maintain open lines of communication by, confidently and maturely, engaging with all relevant decision makers, the FAIS regulator, internal stakeholders, and keeping all parties informed of regulatory changes.
Review policies, provide technical support, and act as a professional sounding board, in so doing, providing comfort and assurance to Head of Compliance, Executives, Project Steering Committees, and Product Development forums. ....

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Regulatory Scrutiny Continues on Broker-Dealer Payments for Order Flow, March Madness – NCAA Players Scammed, Resources on the Latest DOL Prohibited Transaction Exemption and More: Lessons Learned and Worth Reading Update for March 2021 | Hardin Compliance Consulting LLC

Lessons Learned
Payment for Order Flow Gets Another Broker into Hot Water for Undisclosed Conflicts. The SEC found Lightspeed Trading, LLC (“Lightspeed”), formerly a registered broker-dealer, guilty of securities fraud for lying to customers and profiting from lower “market center fees” charged by its affiliate for executing trades. In 2012, Lightspeed started offering customers access to an equity trading platform that allowed them to select the exchange or trading venue for executing their orders. Unfortunately, that freedom of choice was an illusion. Lightspeed actually sent many trades to its affiliated Routing Broker, which charged Lightspeed less for the trades than the venues the customers had selected. Lightspeed charged the fees those venues advertised and kept the difference, to the tune of $300,000 over a period of seven months. The SEC required Lightspeed to repay its clients, but the firm pleaded poverty and got $100,000 of its penalty waived. ....

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DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, FINRA Releases Exam Piorities: Regulatory Update for March 2021 | Hardin Compliance Consulting LLC

For Investment Advisers
On December 18, 2020, the Department of Labor (DOL) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020-02”), subjecting 401(k) rollover subject to ERISA’s fiduciary rules (sometimes). The exemption, called Improving Investment Advice for Workers and Retirees, expands the definition of fiduciary advice under ERISA to recommendations about rollovers and IRA investments. So now, in addition to best interest, fiduciary and disclosure standards imposed by the SEC and FINRA, investment advisers, broker-dealers, banks, and insurance companies (“Financial Institutions”) now have to prove compliance with the DOL’s “Impartial Conduct Standards.” Failure to comply can result in substantial penalties.
The exemption went into effect on February 16, 2021, dashing any hopes that President Biden’s administration might revisit or postpone it. But don’t panic if you are not ready. The DOL and the IRS have agreed to extend their non-enfor ....

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