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About Securities
Compliance Advisors, LLC
Securities Compliance Advisors, LLC (SCA) is a leading regulatory consulting firm providing compliance and
registration products and services to broker-dealers,
traditional investment advisers and hedge fund and private equity
fund managers. We are known for our ability to design practical
compliance solutions that meet the specific needs of our clients
rather than taking a "one size fits all" approach. Our consultants
stay in regular contact with SEC, FINRA and state securities
regulators so our clients are always up to date on the latest
regulatory trends and priorities.
SCA
clients include multi-national financial services companies, hedge
fund and private equity fund managers, family offices, institutional
and retail advisers, and broker-dealers covering a broad range of
activities including general securities, investment company
products, public finance, institutional equity, mergers &
acquisitions, private placements, international securities,
research, and investment banking. SCA clients are located
throughout the U.S. and internationally.
SCA has
been offering compliance consulting services and products since
1996. The firm?s staff and associates are comprised of industry
experts in securities regulation including accountants, attorneys,
former regulators, industry executives and compliance officers.
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Compliance News Articles
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Privacy-Comments and Perspective on Privacy Programs
by Barry Hollander
With the proliferation of identity theft, the imposition of new
regulations regarding the protection of nonpublic consumer personal
information, and the increased focus by regulators on privacy
matters during examinations, financial institutions are beginning to
reevaluate the privacy policies and procedures they have in force
which are intended to protect such information.
Firms must assess every aspect of their policy beginning with
identifying what information needs to be protected to the eventual
disposal of that information.
Read Whitepaper
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FINRA Consolidated Rules to Impact all Member Firms? Supervisory and
Compliance Programs
Summarized from FINRA
Website by SCA Staff
Recently, the Financial Regulatory Authority (FINRA) has been
proposing new consolidated rules in phases for approval by the
Securities and Exchange Commission (SEC) as part of the process of
combining the rules of the National Association of Securities
Dealers (NASD) and the New York Stock Exchange (NYSE) into one
consolidated rulebook.
Read Full Summary
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FINRA Form U4 and U5 Amendments to Affect all Registered
Representatives
Summarized from FINRA
Website by SCA Staff
Recently, the Securities and Exchange Commission (SEC) approved
amendments to Forms U4 and U5 as well as Financial Industry
Regulatory Authority (FINRA) Rule 8312.
Read Full Summary |