$40,000 fine for individual who used personal phone for business
FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.
Trouble at the top? SEC charges senior execs with insider trading
The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?
Marketing Compliance – One Rule to Rule Them All
The marketing department may be your least-expected area of compliance risk. The regulators are on to it, and you should be too. We set out five critical questions for confident compliance with new marketing rules.
Is Regulation Keeping Pace with AI Innovation?
The SEC’s recently laid out rule-writing agenda shows they have AI in their sights. But is the speed of technological innovation outpacing regulation?
Are Crypto Regulations too Cryptic? Not if you ask the SEC
With the SEC taking leading cryptocurrency exchanges to court, questions are being raised about whether regulations require more clarity, and the potential impacts of communications risk.
New SEC Rule 10 to lift the lid on cybersecurity risk
The U.S. SEC has published proposals for new Rule 10, which would introduce cybersecurity requirements for all "covered entities" including new immediate reporting requirements in the event of significant cybersecurity incidents.