Tag Archives: firms

SM&CR: FCA guidance consultation on statements of responsibilities and responsibilities maps for FCA firms

On 11 October 2018, the FCA published a guidance consultation relating to the senior managers’ and certification regime (SMCR). The guidance consultation concerns statements of responsibilities and responsibilities maps for FCA firms. The guidance sets out the purpose of statement … Continue reading

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Mulvaney’s First New Enforcement Action Continues Focus on Asset-Advance Firms

In the latest sign of regulatory scrutiny of asset-advance companies offering consumers what regulators believe are in fact regulated “credit” under federal law and “loans” under state law, the Bureau of Consumer Financial Protection (BCFP) filed its first new lawsuit … Continue reading

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Wake up law firms, it’s RSS

RSS is the standard for the syndication of published content across the open web. For law firms, RSS is how their content reaches many readers, especially their blog content. But of late, I am finding many law firms not using … Continue reading

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SEC Withdraws No Action Letters on Proxy Advisory Firms

In order to facilitate discussion on the role of proxy advisory firms at the upcoming Roundtable on the Proxy Process, which is scheduled for November 2018, the SEC staff has determined to withdraw two no action letters that provided comfort … Continue reading

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Clients Can Find 250+ Firms with Advisors2Go iPhone App

Clients can now find locations, street maps and profiles of 250+ law and accounting firms in 105 countries using a new free business iPhone app called Advisors2Go. "Unlike many other iPhone apps, the majority of Advisors2Gos functionality works without a web connection and it … Continue reading

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