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FINRA’s 2016 Examination Priorities and Technology

January 6, 2016 · AML, Compliance Automation, Conflicts of Interest, Cost of Complaince, Cybersecurity

FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA

Are you effectively monitoring your trade desk?

December 22, 2015 · AML, CCO Liability, Compliance Automation, Cost of Complaince

Today Morgan Stanley agreed to pay $8.8 Million to settle charges for prearranged trading or “parking” that favored