Compliance & Licensing

The securities industry has recently seen some SEC enforcement cases which involved multi-million-dollar fines related to the failure of certain firms to capture all…

Compliance with the Securities Exchange Commission’s (“SEC”) new Marketing Rule (“Rule”) will be required on November 4, 2022.  Below are some highlights of what…

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,…