(As performance and client reporting teams — and other internal groups — gear up to comply with the SEC Marketing Rule, Form ADV, and Reg BI, they will welcome the end of data silos, says Rab Govil, CEO and founder of Naehas, a provider of customer engagement and compliance automation solutions. Govil, who has been… Read More >>
FINRA Expels Firm on Multiple ‘Reg BI’ Charges
Broker-dealer Monmouth Capital Management has been expelled by the self-regulatory organization FINRA, which cites a long list of alleged violations led by excessive trading of client accounts that was not rectified despite many red flags pointing to problems. “Monmouth has been a FINRA member since July 2018. The firm has one branch office located in… Read More >>
