From Inquiry to Response: What to Do When Regulators Come Knocking for Text Messages
Financial institutions have been hit with billions of dollars’ worth of fines in the past couple of years for failing ...
Tag: FINRA
The Rise of a New FINRA Risk & How to Navigate It
Reg BI says brokers should act in the best interest of their retail customers, but are they? Sarah Hutchins and ...
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 ...
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 ...
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 ...
