Today's Top Story

FINRA Reveals Top Areas of Interest: Supervision and Digital Communications Compliance Programs

The Financial Industry Regulatory Authority (FINRA) has issued its latest report, and the findings could be significant for financial services firms. Theta Lake’s Marc Gilman discusses what organizations need to know. The publication of FINRA’s Report on Examination Findings and Observations is now in its third year. In 2019, the title and framing have changed slightly: “Recommendations” have been recast...

Read more
Reputation Risk Management Research


Navex Benchmark Survey
scce regional academy in dubai
Compliance Job Interview Q&A
Tall sidebar CTA

Want More?

Get a weekly eBlast with compliance news, links to podcasts, Webinars, jobs & more.

Totally free. Just once a week. Cancel anytime.