Dos and Don’ts for Exempt Market Dealers – Part 3
Dos and Don’ts for Exempt Market Dealers – Part 3 Over the past few weeks, we have talked about the challenges facing exempt market dealers. If you’ve tried to keep your firm compliant on your own, you know how daunting that can be. Many firms think that they can buy an off-the-shelf policies and procedures […]
Dos and Don’ts for Exempt Market Dealers – Part 2
If you’re like many exempt market dealers, you probably spend time being concerned about how quickly regulations change, how to effectively allocate your resources, and whether you fully understand the regulations and how they affect you. For example, the client-focused reforms that came into effect in 2021 were extensive and led to changes in not […]
Dos and Don’ts for Exempt Market Dealers Part 1
One of the challenges in being an exempt market dealer involves knowing your client. There’s a lot to knowing your client that seems ambiguous, and the rules are often changing. It’s even more difficult considering that some clients may not want to share information with you—but just asking for the information isn’t enough for you […]