Tag: FINRA

In the midst of the COVID-19 pandemic, many financial services firms are implementing work from home policies using collaboration tools. ...

The Financial Industry Regulatory Authority (FINRA) has issued its latest report, and the findings could be significant for financial services ...

The regulatory technology (regtech) scene is exploding – last year, global regtech investment surpassed $1 billion. This tech can help ...

Financial institutions must balance the desire to protect vulnerable clients from financial exploitation with their clients’ rightful expectation that their ...

Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, ...

India offers vast potential for worthwhile business ventures. However, while the rewards can be great, so can the risks. To ...

In this follow-up to a recent piece extolling the benefits of regtech, ACA Technology’s Burt Esrig provides insight into the ...

About this time each year – when the SEC’s Office of Compliance Inspections and Examinations (OCIE) releases its annual Examination ...

Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions ...

Where Firms Should Concentrate Compliance Efforts In the past few months, both the SEC and FINRA issued guidance concerning their ...

How the CEO Can Best Support Compliance Keeping a tight rein on compliance is the name of the game for ...

The New Reality of Compliance More than halfway through 2017, it’s become clear: This is the year that mobile and ...