by Patomak in the News | Dec 15, 2016 | Client Alert
Investment advisers’ branch offices will be subject to heightened Securities and Exchange Commission (SEC) scrutiny according to a recent SEC Office of Compliance Inspections and Examinations (OCIE) Risk Alert.OCIE’s Multi-Branch Adviser Initiative will focus...
by Patomak Global Partners | Jul 20, 2016 | Client Alert
Under a recently-announced Securities and Exchange Commission (SEC) initiative, brokerdealers have been invited by the agency to self-report potential violations of Rule 15c3-3 under the Securities Exchange Act of 1934, commonly known as the Customer Protection Rule,...
