Setting the record straight on retention: How to appropriately capture data and fulfill regulatory requirements
It is well known that record retention is central to financial industry operations - but best-practice makes perfect. Our guide will help your organization abide by regulatory requirements and confirm data is being managed, secured, and archived.
A recent ESMA supervisory briefing has highlighted the potential risks of social media when it comes to investment advice, and FINRA has set out expectations around emojis and compliant communications. How can firms keep pace with emerging technologies and risks?
The financial services giant has been fined $4 million and censured for the permanent deletion of communications data that was required to be retained under Exchange Act rules.
FINRA has published its annual Examination and Risk report. We take a look at the five key provisions of FINRA’s Report for end-to-end communications and data – from restricted channels to regulatory reporting.
FINRA has taken action against an investment bank and two senior managers for their use of text messages for business activity. We explore why this enforcement matters for the compliance team.
The SEC has published its enforcement results for fiscal year 2022, revealing a record year for penalties. We look at the 5 key takeaways.