The SDDco Client Update
The SDDco Client Update is an action oriented email prepared in-house, tailored to client needs, and sent as an adjunct to our online newsletter. Verified newsletter subscribers receive our Client Update once each month.
The SDDco Client Update is intended to provide general information only. It is not intended as, and should not be taken as, financial, tax, accounting, legal, consulting or any other type of advice specific to you or your firm. Users of the SDDco Client Update should not act or refrain from acting on the basis of information provided on the sddco.com website. Always check with your accountant and/or attorney.
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Fintech is described by ezine Fintech Weekly as “a business that aims at providing financial services by making use of software and modern technology. Today, fintech companies directly compete with banks in most areas of the financial sector to sell financial services and solutions to customers. Mostly due to regulatory reasons and their internal structures,
Recent press releases from The Municipal Securities Rulemaking Board (MSRB), the national regulator for the municipal market, cover these important topics: (1) MSRB Guidance on Rules Applied to Transactions in Managed Accounts (2) Municipal Securities Investors to Access Dealer Compensation Info (3) MSRB Reminds Investors of Risks of Rising Interest Rates in Municipal Market (4) MSRB
We’ve assembled the highlights and hyperlinks within the FINRA Monthly Podcast November 2016. The topics include the DOL Fiduciary Rule Session at the FINRA Small Firm Conference; The Tick Size Pilot Market Maker Report Card; FINRA’s Cybersecurity Checklist; E-Learning for Registered Reps; The Firm Element Advisory Podcast Parts 1-2-3; Representative Recruiting Practices, and the 2017
The Commodity Futures Trading Commission (CFTC) approved, on November 4, 2016, a supplemental proposal including key changes to its initial proposal to revise a series of risk controls, transparency measures, and other safeguards to enhance automated trading on all Designated Contract Markets (DCMs) (Regulation Automated Trading or “RegAT”). The supplemental notice of proposed rulemaking for
The Commodity Futures Trading Commission (CFTC) announced on November 21, 2016, its unanimous approval of amendments to regulations on financial reports that commodity pool operators (CPOs) must provide for each commodity pool it operates. The effective date is December 27, 2016. Change Overview These amendments “permit the use of additional alternative generally accepted accounting principles