Tag: FINRA

Sponsored Storing data is essential, but with a huge number of electronic communications channels being used today, there is a ...

A recent SEC settlement with Interactive Brokers underscores the need for true commitment to compliance. Guidepost Solutions’ Megan Prendergast Millard ...

FINRA’s guidelines in a recent regulatory notice address a host of concerns around compliance while employees work from home. Smarsh’s ...

Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to ...

In the midst of the COVID-19 pandemic, many financial services firms are implementing work from home policies using collaboration tools. ...

Given the rapidly expanding use of collaboration platforms, like Cisco Webex, RingCentral, Slack, Zoom and Microsoft Teams, as well as ...

The Financial Industry Regulatory Authority (FINRA) has issued its latest report, and the findings could be significant for financial services ...

Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...

Financial institutions must balance the desire to protect vulnerable clients from financial exploitation with their clients’ rightful expectation that their ...

Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, ...

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 ...