FINRA’s 2016 Examination Priorities and Technology
FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA
Read more →sec compliance automation
Are you effectively monitoring your trade desk?
Today Morgan Stanley agreed to pay $8.8 Million to settle charges for prearranged trading or “parking” that favored
Read more →Big Data, Broker Dealers and Regulators
In the recent Technology Tools for Today conference hosted by Investment News on November 2nd in Florida, Big
Read more →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
Read more →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 →Managing Conflicts of Interest across BD and RIAs
Many BD firms are expanding their business in the shrinking BD market to the Investment Advisory space. 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 →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
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