FINRA’s 2016 Examination Priorities and Technology
Written by Don Lee FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA […]
Are you effectively monitoring your trade desk?
Written by Don Lee Today Morgan Stanley agreed to pay $8.8 Million to settle charges for prearranged trading or “parking” that favored […]
How much does your firm spend on Compliance … is it enough?
Written by Don Lee Is your firm spending enough on compliance? That has been one of the main questions over the last […]
Managing Conflicts of Interest across BD and RIAs
Written by Don Lee Many BD firms are expanding their business in the shrinking BD market to the Investment Advisory space. The […]
Are Debit Card transactions flying under your firm’s AML radar?
Debit card transactions should be included in AML programs. This added data increases the burden of review resulting in the need for automated compliance software such as FinWebTech's Catalyst Compliance Solution.
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 […]