Tag: FINRA

Sponsored Storing data is essential, but with a huge number of electronic communications channels being used today, there is a ...

A recent SEC settlement with Interactive Brokers underscores the need for true commitment to compliance. Guidepost Solutions’ Megan Prendergast Millard ...

FINRA’s guidelines in a recent regulatory notice address a host of concerns around compliance while employees work from home. Smarsh’s ...

Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to ...

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 ...