Are you effectively monitoring your trade desk?
Written by Don Lee Today Morgan Stanley agreed to pay $8.8 Million to settle charges for prearranged trading or “parking” that favored […]
KYC Red Flag Automation
Written by Don Lee Fidelity Investments was fined $500,000 by FINRA and ordered to pay $530,000 in restitution to clients for not […]
Press Release – New Trade Blotter Feature Released
Miami, Florida. November 2015 Press Release FinWebTech is pleased to announce the release of its new Trade Blotter management feature. This new […]
Press Release – Catalyst Automated Compliance Solution
Miami, Florida, November 2015 Press Release FinWebTech is pleased to announce that it has successfully deployed its flagship product Catalyst Automated Compliance […]
How much does your firm spend on Compliance … is it enough?
Written by Don Lee Is your firm spending enough on compliance? That has been one of the main questions over the last […]
FinCEN’s $1 Million Fine Against CCO and Personal Liability
Written by Don Lee In December of 2014, FINCEN fined MoneyGram’s then Chief Compliance Officer Thomas Haider $1 Million as a civil […]