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 ...
Tag: FINRA
6 Benefits of Regtech
The regulatory technology (regtech) scene is exploding – last year, global regtech investment surpassed $1 billion. This tech can help ...
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 Top 4 Trade Compliance Strategies for Doing Business in India
India offers vast potential for worthwhile business ventures. However, while the rewards can be great, so can the risks. To ...
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 ...
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 ...
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 ...
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 ...
What Firms Need to Change in a Social, Mobile World
The New Reality of Compliance More than halfway through 2017, it’s become clear: This is the year that mobile and ...
FINRA 2017 Priorities Letter
FINRA announced its priorities for the year, which will drive examination and regulatory programs and significantly impact market participants focused ...
