2023077084701 Mariner Investment Group CRD 35993 AWC gg.pdf

From June 2020 until December 2023, Mariner failed to establish and maintain a supervisory system, including written policies and procedures, reasonably designed to achieve compliance with Regulation Best Interest (Reg BI). In addition, the firm failed to identify or investigate a red flag associated with the purchase of a non-traditional exchange-traded product (NT-ETP). As a result, the firm willfully violated Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 and violated FINRA Rules 3110 and 2010.

2020067553301 Northern Trust Securities, Inc. CRD 7927 AWC gg.pdf

From August 2016 to December 2024, Northern Trust violated FINRA Rules 6730 and 2010 by failing to report its commissions to the Trade Reporting and Compliance Engine (TRACE) for certain transactions in TRACE-eligible securities. During the same period, the firm violated FINRA Rules 3110 and 2010 by failing to establish and maintain a supervisory system reasonably designed to achieve compliance with FINRA Rule 6730. For these violations, Northern Trust is censured and fined $150,000.

Marissa Roncancio Comment On Regulatory Notice 25-04

As we continue to evolve in a rapidly changing financial landscape, it is essential to consider how hybrid work arrangement has contributed to making employees feel that they have more of a work / life balance & supports retention & productivity. As firms compete for top talent, offering flexibility has become a crucial factor in attracting & retaining skilled professionals. the past few years have demonstrated that it can be implemented successfully while upholding the integrity of our regulatory responsibilities.

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