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Complinet Launches Steven Lofchie's Guide to Broker-Dealer Regulation

Complinet Launches Steven Lofchie's Guide to Broker-Dealer Regulation

LONDON, March 7 /PRNewswire/ -- Complinet Inc has launched the exclusive online version of Steven Lofchie's Guide to Broker-Dealer Regulation. Complinet has worked closely with Steven Lofchie, partner at Davis Polk & Wardwell, to provide a dynamic version of this benchmark publication which further expands Complinet's reference and know how products in the complex area of securities regulation.

The guide is a comprehensive overview of broker-dealer regulation covering registration, employee issues, dealing with customers, communications, research, privacy, anti-money laundering, trading, custody, capital, insolvency, records, reports, inspections, supervision and non-US BDs.

Steven Lofchie's intricate knowledge of the statutory and regulatory requirements for BDs and other financial intermediaries, combined with his own experience and practical knowledge, meet to assist legal and compliance professionals in the securities industry. The online version includes all the benefits that are unique to Complinet's compliance solutions: links to direct citations in securities rulebooks, bookmarking and customizing capabilities, easy dissemination tools, search options and links to relevant existing Complinet products.

The guide offers insights into the gray areas of regulation, revealing best practice and delivering expert interpretive guidance in plain English, as well as detailing relevant history and policy behind key rules. In addition, the online version will be updated periodically and can be supplemented by additional exclusive features such as Lofchie's Daily Regulatory Roundup, Rule Charts, Bibliographies, and Policies & Procedures.

Steven Lofchie and Complinet have forged a close working relationship that will continue to benefit the broker-dealer community in the future, with more integrated product launches as the year goes on. Both Steven Lofchie and Complinet will be attending the SIA Compliance and Legal conference in March to showcase this product.

About Complinet

Complinet is a leading publisher of regulatory information and a provider of compliance services and software solutions to the international financial services industry. From regulatory publishing and compliance training through to software development, the company provides extensive compliance services. Complinet currently employs over 160 people in its offices in New York, London and Dubai. Each day, more than 15,000 regulatory professionals working in more than 1000 companies worldwide rely on Complinet for quality analysis and robust compliance systems. Further information can be found at or by calling +44-(0)-870-042-6400 (UK & Europe). +1(212)-758-7000 (North America)

Contacts: Andy Robertson Complinet Ltd T: +44-(0)870-042-6400 E: [email protected] Julia Thomson Complinet Inc. T: +1-212-758-7000 E: [email protected]

Complinet Limited

CONTACT: Further information can be found at or by
calling +44-(0)-870-042-6400 (UK & Europe) +1-212-758-7000 (North America)
Contacts: Andy Robertson, Complinet Ltd, +44-(0)870-042-6400,
[email protected]. Julia Thomson, Complinet Inc.+1-212-758-7000,
[email protected]

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