7 Simple tips for Cyber-Security for Broker Dealers and RIAs
Written by Don Lee Cyber-Security is a hot topic with the SEC and FINRA. Regulators have announced their examinations will include Cyber-Security and some […]
SEC’s Branch Chief on Data Analysis and 9 things CCO’s should do
Written by Don Lee SEC’s Chief of Staff Andrew Donahue recently spoke at the National Regulatory Services Fall conference and gave CCO’s […]
AML Compliance Automation and SARs filing … risks of manual reviews
Written by Don Lee Securities and Exchange Commission Enforcement Chief Andrew Ceresney said to the broker-dealers community at the Securities Industry and […]
Is your compliance program automated or are you in the dark ages?
Firms and compliance officers are under severe regulatory pressure with increased enforcement actions by FINRA, the SEC and other regulators for ‘Failure […]