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Compliance Concepts

You're the New Chief Compliance Officer; Now What?

July 16, 2018

Compliance Concepts

OCIE Risk Alert: Best Execution Issues Cited in Adviser Exams

July 13, 2018

Compliance Concepts

Profiling Brokers Who Might Prey on Senior Investors

June 1, 2018

Compliance Concepts

FINRA and SEC Disciplinary Actions Against Aegis Capital – ‘It’s Complicated’

March 29, 2018

Compliance Concepts

FINRA Warns Investors: Watch Out for These 4 Behaviors by Your Financial Professional

March 21, 2018

Compliance Concepts

Wide Scale Proxy Voting Fraud Took Down Firm, But Not Senior Management

March 20, 2018

Compliance Concepts

Financialish Take Aways: Holding CCOs Responsible for Inadequate WSPs

February 27, 2018

Compliance Concepts

The FINRA Mutual Fund Sweep vs. Cultures of Mis-Compliance

February 22, 2018

Compliance Concepts

Mitigating the Problems When 'Sh_t Hits the Fan'

February 17, 2018

Compliance Concepts

SEC National Compliance Outreach for Investment Companies & Investment Advisers

February 14, 2018

Compliance Concepts

Financialish TakeAways: The Price One Pays for Defending ‘a Lie’

February 14, 2018

Compliance Concepts

Financialish TakeAways - CCO Culpability for Weak WSPs Related to Microcap Stocks

February 13, 2018

Compliance Concepts

FINRA's High-Risk Registered Rep Program

January 10, 2018

Compliance Concepts

Report on FINRA Examination Findings

December 6, 2017

Compliance Concepts

Non-Traditional ETFs: A Primer

November 21, 2017

Compliance Concepts

SEC Enforcement: Priorities for 2017

November 16, 2017

Compliance Concepts

Municipal Advisors Weak on Regulatory Obligations - SEC

November 14, 2017

Compliance Concepts

OCIE Issues Risk Alert on RIA Advertising

September 20, 2017

Compliance Concepts

SEC, FINRA, MSRB to Hold Muni Compliance Outreach Program

September 11, 2017

Compliance Concepts

Where Was KPMG, Wells Fargo’s Auditor, While the Funny Business Was Going On?

August 18, 2017

Compliance Concepts

A Bad Broker Operated 'Under the Radar' for So Many Years

August 15, 2017

Compliance Concepts

Office Space Sharing Arrangements

July 27, 2017

Compliance Concepts

HSBC Restricts Personal Trading by Traders

July 17, 2017

Compliance Concepts

How Well Do Broker-Dealers Service Senior Investors? NASAA Has Answers

July 5, 2017

Compliance Concepts

FINRA's Undue Emphasis on Annual Compliance Questionnaires

June 26, 2017

Compliance Concepts

Financialish ‘Hall of Shame’ - Broker-Dealer Induction Ceremony

May 30, 2017

Compliance Concepts

Grading FINRA on its Broker-Dealer Report Cards

May 22, 2017

Compliance Concepts

The IBM Cloud

May 17, 2017

Compliance Concepts

Culture, Conflicts of Interest and Ethics is ‘So Last Year‘

May 12, 2017

Compliance Concepts

2017 National Compliance Outreach Program for Broker-Dealers

May 3, 2017

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