Compliance Newsflash – April 17, 2019

April 17, 2019

FINRA Clarifies How BDs Should Handle Departing Rep Information On April 15, 2019, ThinkAdvisor reported  that broker-dealers must “promptly and clearly” communicate a registered rep’s departure to clients – including the departing rep’s contact information – and provide “timely and … read more

Compliance Newsflash – April 10, 2019

April 11, 2019

SEC Open to Modern Communications by Advisers On April 5, 2019, JD Supra announced that the increasingly widespread use and acceptance of various types of online communications have made it more attractive – for both firms and clients – to … read more

Compliance Newsflash – April 3, 2019

April 3, 2019

Following Reg BI, FINRA may cut suitability rule On March 27, 2019, Pensions&Investments reported that when the Securities and Exchange Commission finalizes its standards-of-conduct package, the Financial Industry Regulatory Authority will re-examine its suitability rule for broker-dealers, Robert Colby, chief legal … read more

Compliance Newsflash – March 27, 2019

March 28, 2019

DLA is committed to keeping our clients and friends updated on relevant news and topics in the industry by distributing a weekly Compliance Newsflash. We hope this provides you with helpful and insightful information for you and your firm! Join … read more

Compliance Newsflash – March 20, 2019

March 20, 2019

DLA is committed to keeping our clients and friends updated on relevant news and topics in the industry by distributing a weekly Compliance Newsflash. We hope this provides you with helpful and insightful information for you and your firm! Join … read more

Jeffrey Abramczyk Joins DLA to Lead the Firm’s Compliance Practice

March 14, 2019

DLA, LLC, a leading internal audit, compliance and advisory services firm, which was founded in 2001, announced that Jeffrey Abramczyk joined the firm on Monday, February 11, 2019, as a Managing Director of the Governance, Risk Management and Compliance Group. … read more

Compliance Newsflash – March 13, 2019

March 13, 2019

DLA is committed to keeping our clients and friends updated on relevant news and topics in the industry by distributing a weekly Compliance Newsflash. We hope this provides you with helpful and insightful information for you and your firm! Join … read more

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