Tag: FINRA

With compliance processes driven largely by regulatory requirements, the financial services sector could be forgiven for breathing a sigh of ...

How to Demonstrate a Commitment to Compliance Regulatory authorities for the financial industry will be focused on companies' risk management ...

FinServ community advised to redouble control efforts

Australian financial regulator issues new guidance on communications monitoring & archiving

FINRA, SEC stepping up enforcement

Each year, the Financial Industry Regulatory Authority (FINRA) shares its regulatory and examination priorities for the coming year, highlighting both ...

Financial institutions have been hit with billions of dollars’ worth of fines in the past couple of years for failing ...

Reg BI says brokers should act in the best interest of their retail customers, but are they? Sarah Hutchins and ...

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

During its first-ever review of compliance with Regulation Best Interest (Reg BI), the Financial Industry Regulatory Authority (FINRA) found significant ...

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

Take These Steps Now to Minimize Risk Later When it comes time for a FINRA audit, financial organizations can spend a ...