Broker-Dealer Newsletter July 2015

July 22, 2015

ACA Broker-Dealer Services ("ACA") would like to share its most recent newsletter with you, along with some additional useful information.

Please download the latest edition via the link below. This issue discusses relief  related to transmittals of customer funds for application-way transactions. In addition, it highlights the risks of outsourcing and payments to unregistered entities. If you have questions on these topics or any other concerns, please contact your ACA compliance consultant or Dee Stafford in the Los Angeles office at (310) 322-8840.

Click here to download the newsletter.

ACA Upcoming Events

Upcoming ACA events:

  • August 4 – Broker-Dealer/Investment Adviser Roundtable (Kansas City, Kansas)
  • August 11 – Broker-Dealer Best Practices Survey Results Webcast
  • September 29 – Broker-Dealer/Investment Adviser Roundtable (St. Louis, Missouri)

If you would like more information on any of these events, please contact Dee Stafford.

Broker-Dealer Quick Reference Guide

To receive a complimentary copy of our current Broker-Dealer Quick Reference Guide, please contact Dee Stafford.