The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

Common AML Compliance Program Deficiencies

AML compliance remains a challenge for many firms that continue to struggle with implementing stringent internal controls as the regulatory landscape continues to shift and change. In this article, we outline some of the most recent AML-related disciplinary actions recorded by FINRA since January 2017. Read More

How to Make Your Compliance Message “Stick”

In today’s world of information overload, you need to grab your readers’ attention by making your communication “stick.”  This is especially important in our industry, where the follow through on certain communications can be the difference between compliance and non-compliance. To help out, consider the following key points to make your communications more effective and “stick” with its intended audience. Read More

CE Council Releases Q3 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q3 2017 Firm Element Advisory (FEA). In the report, the Council identifies regulatory and sales practice topics that firms should consider in their Firm Element training plans. Read More

How to Create an Effective Written Training Plan

Here are seven tips on how to design, develop and implement a successful written training plan, leading to more engaged representatives and the attainment of key compliance goals. Read More

FINRA Releases Video Series on Cybersecurity Pitfalls

In a three part video series, FINRA provides guidance on common deficiencies it has identified during its cybersecurity examinations of member firms. These failings include branch controls, data protection and password security and act as a to-do list of things broker-dealers should do to ensure their cybersecurity protocols are up to snuff. Read More

Common FINRA Exam Deficiencies for Small Firms

This article summarizes some of the most common rule violations for small firms, as outlined by FINRA regulators. Read More

20 Courses to Help you Celebrate Social Media Day!

In case you missed it, today is #NationalSocialMediaDay. In celebration of this #hashtag holiday, we’re highlighting a few of our most popular ‘Social Media’ and ‘Communications with the Public’ courses. Read More

Tips on How to Prepare for Your Next FINRA Exam

FINRA exams are challenging for everyone, however, there are several steps firms can take to better prepare for an onsite investigation. Read More

Key Takeaways from the FINRA Conference

More than 1,000 attendees and approximately 150 speakers attended FINRA’s annual conference back in May – including a team from Quest CE who took part in the three-day exhibitor fair. Read More

CE Council Releases Q2 2017 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q2 2017 Firm Element Advisory (FEA). Read More