Artificial Intelligence and Compliance Challenges in the Broker Dealer Industry
Today’s broker dealer industry is in the midst of a [...]
30
09, 2024
28
05, 2024
Audit Preparations for FINOPs
For a broker dealer, there’s a single word that is [...]
14
05, 2024
FINOP Training and Professional Development
FINOP Training and Professional Development Financial and Operations Principals (“FINOPS”) [...]
7
05, 2024
Compliance Challenges for FINOPs
In today’s ever-evolving broker dealer environment, a Financial and Operations [...]
15
09, 2023
Safeguarding From Fraudulent Activity
Safeguarding From Fraudulent Activity At any given time, natural disasters [...]
27
06, 2023
Form CRS Observations
Broker dealers, specifically the Chief Compliance Officer (“CCO”), are required [...]
23
06, 2023
Exam Observations for New Firms
In March 2023, the Securities and Exchange Commission (“SEC”) released [...]
21
04, 2023
Annual Audit Season
When a broker dealer hears the words “annual audit season”, [...]
5
12, 2022
Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
On September 22, 2022, the Securities and Exchange Commission announced [...]
30
11, 2022
FINRA Unscripted Podcast: Membership Application Program – Reviewing and Approving Digital Asset Firms
This is a summary of a recent FINRA podcast on Membership Application Program.