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
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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
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