Are Broker-Dealers Acting in the Best Interests of Their Customers? ‘Not Yet,’ Says FINRA.
During its first-ever review of compliance with Regulation Best Interest (Reg BI), the Financial Industry Regulatory Authority (FINRA) found significant ...
Tag: FINRA
2020 Survey Report: State of Digital Communications Compliance
Given the rapidly expanding use of collaboration platforms, like Cisco Webex, RingCentral, Slack, Zoom and Microsoft Teams, as well as ...
Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties
Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...
4 Ways to Lessen the Burden of a FINRA Audit
Take These Steps Now to Minimize Risk Later When it comes time for a FINRA audit, financial organizations can spend a ...
What is Cryptocurrency and Who is Going to Regulate It?
A Look at SEC, FINRA and Other Issues Cryptocurrency experienced massive and unprecedented growth in 2017, rising from a total ...
Archiving Fails to Protect Banks and Their Customers in the New Normal
Sponsored Storing data is essential, but with a huge number of electronic communications channels being used today, there is a ...
How to Safeguard Your Firm from Regulatory Action
A recent SEC settlement with Interactive Brokers underscores the need for true commitment to compliance. Guidepost Solutions’ Megan Prendergast Millard ...
Implementing FINRA’s Best Practices for Remote Work in a Pandemic
FINRA’s guidelines in a recent regulatory notice address a host of concerns around compliance while employees work from home. Smarsh’s ...
COVID-19 and Working from Home: Enforcement Implications
Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to ...
FINRA’s Top 6 Concerns in 2018
Priorities Letter Outlines Areas of Focus Each year, the Financial Industry Regulatory Authority (FINRA) shares its regulatory and examination priorities ...
Collaboration Compliance During a Crisis
In the midst of the COVID-19 pandemic, many financial services firms are implementing work from home policies using collaboration tools. ...
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 ...
