Archive for January 2020

Compiling an Efficient and Substantive Annual Compliance Report

With March deadlines looming, is your organization ready to provide a substantive annual compliance report? Join Elin Cherry from Elinphant LLC for helpful guidance on how to efficiently and effectively compile your annual compliance report. The topics will include: * Using compliance technology to bolster your report by providing supporting evidence for your conclusions* Recommended…Read More

Key Takeaways from SEC & FINRA 2020 Priorities Letter

Now that the SEC & FINRA 2020 examination priorities letters have been released, we will take a closer look at the trends in 2019 and what to look for in 2020. In the letters, the regulators highlighted their top priorities while reminding firms of the need to adopt comprehensive supervisory processes that will ensure compliance…Read More

As the coronavirus spreads Elinphant is taking precautions to ensure that all of our clients and employees stay healthy.
We will practice social distancing, skipping non-essential business travel and letting employees work from home and conduct virtual meetings as much as possible. Of course, the health of your business is also important to the Elinphant team.
We will continue to work for you as usual and will gladly meet at your offices at your discretion.