AML and Suitability Challenges During COVID-19
FINRA Rule 3310 provides broker-dealer guidance on how to design, [...]
20
04, 2020
8
04, 2020
Compliance and COVID-19: Opportunities for Growth
The spread of the COVID-19 pandemic has presented challenges for [...]
3
04, 2020
Teleworking Considerations During COVID-19 Pandemic
Many financial service institutions have been hesitant to create teleworking [...]
27
03, 2020
BCP and COVID-19: Considerations for Firms
Many financial service firms have written supervisory procedures in place [...]
25
03, 2020
U4 Disclosure Updates: Cautionary Tales
Failure to timely update information on individual Form U4 disclosure [...]
20
03, 2020
FINRA Proposal to Enhance Continuing Education
The Securities Industry/Regulatory Council on Continuing Education (CE Council) recently [...]
16
03, 2020
SEC Enforcement Actions: Key Takeaways for 2020
Enforcement actions can be scary, especially if you or your [...]
11
03, 2020
Examination and Risk Monitoring: What to Expect in 2020
FINRA recently released a podcast called “What to Expect: The [...]
3
03, 2020
Our Top Six Most Popular Blog Posts
MasterCompliance continues to provide clients and the public with guidance on [...]
20
02, 2020
FINRA Disciplinary Actions from January 2020
The Monthly Disciplinary and Other FINRA Actions report from January [...]