Oct 26, 2017
SEC released a National Exam Program Risk Alert from the Office of Compliance Inspections and Examinations (OCIE) with detailed findings from cybersecurity examinations 2014 through 2016 of Broker-Dealer and RIA firms.
Feb 01, 2016
RND Resources Inc. (RND) is a newly accepted member of McGladrey Alliance, the nations’ leading provider of middle market audit, tax, and consulting services with global reach.
Nov 30, 2015
Running a small broker dealer firm with limited resources makes it hard to hire a CFO with all the credentials and expertise you truly want. Doubling as the FINOP yourself while managing other jobs can be difficult too. What is the best solution?
Oct 06, 2015
SEC holds firms responsible for audit deficiencies. As the broker dealer landscape is constantly changing small to mid-size brokers find it more and more difficult to maintain a strong record of compliance while managing their business.
Jun 16, 2015
May 20, 2015 the Securities and Exchange Commission unanimously approved amendments to Form ADV requesting more information about the composition of client portfolios and risk profiles, and advisers use of social media.
May 07, 2015
Cyber threats in the financial sector can cause compromise of investor information, exposed trading algorithms, and systematic failures. More and more broker dealers are realizing security of their framework cannot rest solely on the heads of the IT.
Apr 30, 2015
RND Resources is proud to be the host of the June 3, 2015 Los Angeles & San Fernando Valley Roundtable in California where compliance professionals and consultants meet to discuss important topics and changes in financial regulation as they occur.