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
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 ...
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 ...
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 ...
