Resources/ Updates - December 2016

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.

Dec06

Holiday Update from The SDDCO Group

  (click to enlarge card)

Dec05

10 Trends in Fintech

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,

Read more >

Dec05

MSRB Updates ~ November 2016

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

Read more >

Dec04

FINRA’s November 2016 Podcast ~ Takeaways for Broker-Dealers

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

Read more >

Dec03

CFTC Approves Proposal to Ease and Edit Automated Trading Regs

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

Read more >

Dec03

CFTC Amends CPO Financial Report Reqs ~ Effective Dec. 27, 2016

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

Read more >

FOCUSED SUPPORT

SDDco specializes
in two industries.

Our know-how and our network supports the financial services & tech industries.

We hold the right training and licensures to keep you in step and mitigate risk.

Our Credentials

SUCCESSFUL CLIENTS

SDDco supports
industry leaders.

We oversee back office functions so you can focus on your own clients.

Major banks, private funds, RIAs, BDs, and tech startups choose us.

Our Clients

TOP TALENT

SDDco is as good
as its great people.

Our CPAs, FinOps and
consultants are licensed,
experienced professionals.

Partner with us for start-ups and for ongoing accounting, compliance and tax work.

Our People

ONSITE OUTSOURCING

SDDco performs
services onsite.

Outsourced support with
SDDco isn’t out of sight.

We work in your space and for your team on a regular basis. Engage the expertise without the fulltime hire.

Our Praises

HIGH STANDARDS

SDDco observes
AICPA principles.

Our inaugural firm began
when two CPAs opened
a NYC office back in 1952.

We faithfully maintain the CPA standards: integrity, competency, confidentiality….

Our Group