Do you have a Risk Based Program?
The first question regulators often ask during an initial examination interview is ‘do you have a risk based
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Compliance Officers and Personal Liability Report and What Compliance Officers Can Do.
Are you a compliance officer feeling threatened with increased personal risk, you’re not alone. Thomson Reuters recently published the
Read more →Are Debit Card transactions flying under your firm’s AML radar?
Debit card transactions should be included in AML programs. This added data increases the burden of review resulting in the need for automated compliance software such as FinWebTech’s Catalyst Compliance Solution.
Read more →7 Simple tips for Cyber-Security for Broker Dealers and RIAs
Cyber-Security is a hot topic with the SEC and FINRA. Regulators have announced their examinations will include Cyber-Security and some
Read more →SEC’s Branch Chief on Data Analysis and 9 things CCO’s should do
SEC’s Chief of Staff Andrew Donahue recently spoke at the National Regulatory Services Fall conference and gave CCO’s
Read more →SEC’s use of ‘Big Data’ anlaytics and Compliance
The SEC had a record year of 807 enforcement actions and orders for $8.2 Billion in penalties and
Read more →AML Compliance Automation and SARs filing … risks of manual reviews
Securities and Exchange Commission Enforcement Chief Andrew Ceresney said to the broker-dealers community at the Securities Industry and
Read more →Is your compliance program automated or are you in the dark ages?
Firms and compliance officers are under severe regulatory pressure with increased enforcement actions by FINRA, the SEC and other regulators for ‘Failure
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