Understanding Conflict of Interest, Outside Business Activities & Personal Trading Reviews
Understanding Conflict of Interest, Outside Business Activities & Personal Trading Reviews In today’s regulated financial environment, organizations must proactively manage conflicts of interest, outside business activities (OBAs), and personal trading to protect integrity, comply with legal standards, and preserve trust with clients and stakeholders. At Dumont Consulting & Compliance (DumontCC), we help firms strengthen compliance […]
Annual FINRA Rule 3012 & Supervisory Control Reports
Strengthening Broker-Dealer Compliance & Supervisory Oversight Broker-dealers operating in today’s regulatory environment face heightened scrutiny of their supervisory systems and internal controls. Annual supervisory control reporting — historically referred to as FINRA Rule 3012 and now governed under FINRA Rule 3120 — remains a critical regulatory requirement for demonstrating effective supervision and compliance oversight. DuMont […]
Form ADV Part III (ADV CRS) Compliance Support
Form ADV Part III (ADV CRS) Compliance Support: How Dumont Consulting Helps Investment Firms Stay Regulator-Ready Form ADV Part III, commonly known as the Customer Relationship Summary (ADV CRS), is a critical SEC compliance requirement for registered investment advisers (RIAs) and broker-dealers. Introduced to improve transparency and investor understanding, ADV CRS requires firms to clearly […]