Case Study: HA&W Wealth Management Turns to BasisCode for Compliance

BasisCode Compliance, which launched a self-subscription service this week, is helping HA&W Wealth Management to more efficiently manage its compliance needs.

atlanta-skyline
Both HA&W Wealth Management and BasisCode Compliance are located in Atlanta.

According to the 2017 White House budget proposal, the US Securities and Exchange Commission (SEC) will increase the number of Registered Investment Advisor (RIA) examiners by 20 percent this year, while the SEC's Office of Compliance Inspections and Examinations recently sent out a notice to thousands of yet-to-be-examined financial firms encouraging them to improve their compliance programs. The Financial Industry Regulatory Authority (Finra) is also taking aim at compliance as a top issue for

Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.

To access these options, along with all other subscription benefits, please contact info@waterstechnology.com or view our subscription options here: http://subscriptions.waterstechnology.com/subscribe

You are currently unable to copy this content. Please contact info@waterstechnology.com to find out more.

Sorry, our subscription options are not loading right now

Please try again later. Get in touch with our customer services team if this issue persists.

New to Waterstechnology? View our subscription options

FCA declines to directly regulate market data prices

A year-long investigation by the UK regulator to determine whether competition is hindered in the wholesale data markets has concluded with its decision not to directly regulate much-maligned data pricing and licensing structures.

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an individual account here