Financial Services is about making money — lots of money. Failure to follow mandated rules and regulations can and will rob you of these profits and, at worst, destroy reputations and careers. The shifting regulatory landscape only makes this task increasingly difficult. Rules and rule enforcement procedures change every day. Exchanges rush to merge or capitalize on the robust IPO markets by going public. Self Regulatory Organizations, or SROs, are hard to identify without a scorecard.
Our Mission: Be Ready!
Compliance Insights seeks to provide information, insights and direction that may enable the Financial Services Community to effectively and efficiently operate in a regulatory risk-free environment.
Howard L. Haykin, Managing Director and Founder:
Howard Haykin is a compliance professional with over 30 years in the financial industry.
Howard’s expertise covers the broad range of federal and state securities laws affecting Registered Investment Advisors (“RIAs”) and Broker/Dealers (“BD”) and other financial service professionals. His comprehensive knowledge of the Investment Advisers Act of 1940, Securities Exchange Act of 1934, the rules of the Securities Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) as well as current Dodd-Frank legislation make him an authority on the industry’s regulatory practices. In addition, Howard serves as an arbitrary compliance arbitrator for FINRA Dispute Resolution, an expert witness in a variety of bankruptcy and consultant cases, and as representative during regulatory exams and investigations. Howard started on Wall Street in 1980 and over the years has been employed or consulted with some of the industry’s top firms including: Nomura Securities International, Ameriprise Financial (formerly known as American Express Financial Advisors), Bear Stearns and Fidelity Investments.
In 2006, Howard founded Compliance-Insights, a web site dedicated to bringing his broad knowledge of compliance rules and regulations to broker-dealers, investment advisers, law firms, consultants, regulators and other industry professionals. His daily blogs and newsletters provide the information, insight, tools and analysis necessary for navigating today’s complex financial regulatory system.
Howard is a non-practicing CPA and is a member of the Midtown Regulatory Group in New York City.