PKF O'Connor Davies
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2020-01-20
FINRA Releases Highlights from Reg BI Conference
Regulation Best Interest (“Reg BI” or the “Rule”), which will be effective June 30, 2020, establishes a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities, […] The post FINRA Releases Highlights from Reg BI Conference appeared first on PKF O'Connor Davies.
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PKF International News
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2020-01-20
Jamie Drummond Featured in Accountancy Today
Jamie Drummond has been featured in leading trade publication Accountancy Today on the topic of making the most out of data analytics tools.
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PKF O'Connor Davies
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2020-01-16
Broker-Dealer’s Net-Capital Requirements Highlighted by SEC Charges
The SEC filed a complaint last month against the former CEO and a former employee of a broker-dealer for engaging in misleading and deceptive conduct in an effort to fabricate the net capital position of the broker-dealer. For the protection of customers, registered broker-dealers are subject […] The post Broker-Dealer’s Net-Capital Requirements Highlighted by SEC Charges appeared first on PKF O'Connor Davies.
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PKF International News
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2020-01-15
PKF Cyprus Celebrates 40 Years at Christmas
We are delighted that our member firm in Cyprus, PKF Savvides & Co Ltd, reached the milestone of 40 years of trading last month.
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PKF O'Connor Davies
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2020-01-08
Beware of Affinity Fraud
If it sounds too good to be true, it probably is! Although we have seen the stock market reach record-highs, it is important that investors take caution with promises of guaranteed performance. On December 19, 2019, the Securities and Exchange Commission (SEC) charged a New […] The post Beware of Affinity Fraud appeared first on PKF O'Connor Davies.
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PKF International News
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2020-01-02
PKF Audiec Managing Partner Named Spanish Auditor of the Year
Felix Pedrosa, Managing Partner of our member firm in Barcelona, PKF Audiec, has been named Auditor of the Year by the Registro de Economistas Auditores (REA).
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PKF O'Connor Davies
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2019-12-20
SEC Proposes to Amend Definition of Accredited Investor
The SEC voted to propose amendments to the definition of an “accredited investor.” The finalized amendments would add additional categories of individuals [and entities] that qualify to participate in private capital markets based on established, clear measures of financial sophistication. The proposal is subject to […] The post SEC Proposes to Amend Definition of Accredited Investor appeared first on PKF O'Connor Davies.
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PKF International News
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2019-12-16
PKF Thailand Certifies Lucanet Professionals
PKF Thailand has certified seven LucaNet Professionals
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PKF International News
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2019-12-10
PKF Econometrica Going From Strength to Strength
We are delighted to announce that PKF Econometrica have been chosen as the top accounting and law firm in the Romanian county of Timis for the eighth consecutive year.
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PKF International News
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2019-12-06
Madrid to Stuttgart By Ignacio Creus Marti
In September 2019, Ignacio undertook a secondment opportunity to PKF Wulf & Partner in Stuttgart, Germany for one month.
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