Compliance & Licensing

Cash & Non-Cash Compensation In an effort to limit the possible conflicts of interest that may arise in connection with the sale and distribution…

FINRA defines an outside business activity (“OBA”) as being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being…

Click here for the most recent edition or Compliance Alliance. TC128165(0822)1

ESI Written Supervisory Procedures Update ESI continually reviews its Written Supervisory Procedures (“WSP”) in accordance with regulatory and business requirements.  Effective June 30, 2022,…

FINRA recently published a Cybersecurity Alert to warn firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and…

As you know, as a result of the DOL Rule, ESI has referred to doing business under two Prohibited Transaction Exemptions, also known as…