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 ...
Tag: FINRA
Protecting Privacy Rights While Preventing Financial Exploitation
Financial institutions must balance the desire to protect vulnerable clients from financial exploitation with their clients’ rightful expectation that their ...
What Financial Firms Must Do to Mitigate the Risks of Digital Communications
Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, ...
The Cost of Noncompliance is Rising – How Regtech Can Help
In this follow-up to a recent piece extolling the benefits of regtech, ACA Technology’s Burt Esrig provides insight into the ...
How Defensible Is Your Compliance Approach?
About this time each year – when the SEC’s Office of Compliance Inspections and Examinations (OCIE) releases its annual Examination ...
6 Benefits of Regtech
The regulatory technology (regtech) scene is exploding – last year, global regtech investment surpassed $1 billion. This tech can help ...
FINRA’s Move to Foster Regtech
Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions ...
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 ...
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 ...
SEC & FINRA: 4 Shared Regulatory Priorities
Where Firms Should Concentrate Compliance Efforts In the past few months, both the SEC and FINRA issued guidance concerning their ...
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 ...
Setting the Tone: No Back Seat for the CEO
How the CEO Can Best Support Compliance Keeping a tight rein on compliance is the name of the game for ...
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- Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange December 11, 2019SEC Obtains Asset Freeze to Halt Alleged Offering Fraud
- Harpreet Grewal December 10, 2019SEC Obtains Final Judgment Against Former Online Marketing Company Executive
- Christopher Collins, et al. December 10, 2019Former Congressman and Two Others Settle Insider Trading Charges
