K2 Integrity’s Post

We will be reviewing new rule 15c6-2 (same day allocations) with Ignacio Sandoval, at Morgan Lewis, on Dec 6. This will be a brief conversation to share information and best practices. We hope you can join us! #TRADEliance #CapitalMarketsConsulting

Compliance and regulatory adherence are non-negotiable aspects of the financial advisory profession. Evolution simplifies these complexities through comprehensive compliance support, enabling financial professionals to navigate the regulatory environment confidently and efficiently. This peace of mind allows you to focus on strategic growth initiatives without the burden of compliance worries. Learn more: https://bit.ly/3OLXT14 #Compliance #Osaic #IndependentFinancialProfessionals #OSJServices

Navigating the complex landscape of financial regulations? A super OSJ, such as Evolution Financial Advisors, can help streamline your compliance process, ensuring you stay updated with the latest regulatory changes without sacrificing your client service quality. Discover how partnering with a super OSJ can keep your practice compliant and efficient. Reach out to us: https://bit.ly/3OLXT14 #Compliance #OsaicWealth #OSJServices

https://lnkd.in/gNPZFuPX Reg BI all day every day. What are your firms doing to continue to stay on top of this important regulation? #regbi #compliance #regulatorycompliance #enforcement #finra #sec #compliancemanagement #complianceofficer #complianceservices #rrmp

We’re excited to be at the Investment Adviser Association Compliance Conference! If you're at the show, stop by and chat with the MCO (MyComplianceOffice) team about all things compliance! You can also set some time up for a conversation right here: https://hubs.ly/Q02nxYBq0 #IAAComCon #Compliance #ConductRisk #ConflictsOfInterest #ComplianceOversight

Our assessments help financial institutions identify risks, address operational challenges, and ensure a seamless transition. Prioritize readiness assessments to align with regulatory requirements, mitigate compliance risks, and foster operational resilience. Speak to an expert today to prepare your organization for the new regulatory landscape: https://ow.ly/UHvu50SkYhr #Finance #Compliance #SEC

Did you miss our webinar on the Corporate Transparency Act (CTA) Beneficial Ownership Reporting rules and how it will impact your business? Access it at your convenience and gain valuable insights into navigating and complying with the CTA. Watch now on-demand: https://ow.ly/m4v450QXKZs #CorporateTransparencyAct #CTA #RegulatoryCompliance #FinCEN

🔐Secure futures start with informed guidance. Learn how staying ahead in compliance helps advisors provide a future of stability and confidence for their clients. Discover more in our white paper: Staying Ahead: The Landscape of Compliance is Changing, Your Business Should Be Too. Read here ➡️ https://hubs.la/Q02HPPYS0 #advisor #financialadvisor #compliance #regulations #riskmanagement #whitepaper

If you are an issuer and are frustrated with efforts to efficiently communicate with Institutional Investors in the US & EU....you should watch this video replay. Compliant and secure communications is already a hot button issue in financial services. But public companies need to understand where things are moving as the middleman that issuers have relied on for decades is slowly being regulated into extinction. #investmentbanking #corporateaccess #compliance #compliancesolutions https://lnkd.in/eDyPEWpK

Continued focus on KYC and AML…