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Ideas & Insights

 










Financial Reporting Insights

Promptly transmitting customer funds

A recent SEC staff no-action letter addresses prompt transmission of customer’s funds to the carrying broker-dealer.






Investment Industry Insights

Cybersecurity discussion

Data breach prevention, incident response, potential legal and financial consequences, avoiding a bigger crisis and more.








Compliance News

CFPB issues additional HMDA guidance

CFPB issues document to give financial institutions examples of HMDA data and reporting as well as factual scenarios.