5 key messages from FINRA’s 2022 Report
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 enforcement cements focus on unauthorized comms and senior managers
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.
Recordkeeping failures dominate SEC enforcement results in 2022
The SEC has published its enforcement results for fiscal year 2022, revealing a record year for penalties. We look at the 5 key takeaways.
FINRA sweeps communications for crypto assets
In the face of increased volatility in the crypto asset market, FINRA has asked broker dealers to disclose their communications data for crypto.
FINRA Report Timely Amid Diverse Cloud-Based Options for Advisors
Cloud-Based Strategies are the future of financial services. Optimize cloud technology to meet your evolving compliance needs.