Cost of Complaince – Financial Web Technologies

AML, CCO Liability, Compliance Automation, Cost of Complaince

Written by Don Lee FINRA announced today that it has fined Raymond James & Associates $17 Million for failures related to their […]

AML, Compliance Automation, Conflicts of Interest, Cost of Complaince, Cybersecurity

Written by Don Lee FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA […]

Mark EdwardsJanuary 6, 2016

AML, CCO Liability, Compliance Automation, Cost of Complaince

Written by Don Lee Today Morgan Stanley agreed to pay $8.8 Million to settle charges for prearranged trading or “parking” that favored […]

Mark EdwardsDecember 22, 2015

AML, CCO Liability, Compliance Automation, Cost of Complaince, Risk Rating

Written by Don Lee In the recent Technology Tools for Today conference hosted by Investment News on November 2nd in Florida, Big […]

Mark EdwardsDecember 21, 2015

AML, Compliance Automation, Cost of Complaince

Written by Don Lee Fidelity Investments was fined $500,000 by FINRA and ordered to pay $530,000 in restitution to clients for not […]

Mark EdwardsDecember 18, 2015

AML, CCO Liability, Compliance Automation, Cost of Complaince

Written by Don Lee Is your firm spending enough on compliance? That has been one of the main questions over the last […]

Mark EdwardsDecember 11, 2015