Tag: FINRA

In this follow-up to a recent piece extolling the benefits of regtech, ACA Technology’s Burt Esrig provides insight into the ...

About this time each year – when the SEC’s Office of Compliance Inspections and Examinations (OCIE) releases its annual Examination ...

Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions ...

Where Firms Should Concentrate Compliance Efforts In the past few months, both the SEC and FINRA issued guidance concerning their ...

How the CEO Can Best Support Compliance Keeping a tight rein on compliance is the name of the game for ...