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 ...
Tag: FINRA
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 ...
In Electronic Supervision, Perfection isn’t Mandatory
Regulators don’t expect perfection in your compliance systems, but they will require a clear set of policies governing all communications ...
Staying Audit-Ready as Regulators Make Compliance a Top Priority
How to Demonstrate a Commitment to Compliance Regulatory authorities for the financial industry will be focused on companies' risk management ...
