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SEC Ends FY19 with $4.3B in Penalties/Disgorgement

In fiscal year 2019 (which runs from October to September), the SEC reported a total of 862 enforcement actions, including 526 “standalone” actions filed in either federal court or as administrative proceedings, which was its highest number of standalone actions since 2016. Read More

FINRA to Keep Annual Compliance Meeting Rule

Based on the retrospective rule review, which took place in April 2018, FINRA has decided to continue requiring broker-dealers to conduct an annual compliance meeting (FINRA Rule 3110(a)(7)). Read More

FINRA Releases Third Annual Exam Findings Report

The 2019 Report focuses on a number of findings and observations, involving: sales practice and supervision; firm operations; market integrity; and financial management. Read More

Are your Gift & Entertainment Policies Holiday Ready?

With the holidays just around the corner, it's the perfect time for your company to review its gift and entertainment policies and procedures. Read More

SEC Adopts Rule to Make ETFs “More Accessible”

The SEC announced it has voted to adopt a new rule and form amendments designed to modernize the regulation of ETFs. Read More

Cybersecurity Awareness Month: Spotlight on Training

Held every October, National Cybersecurity Awareness Month is a great time for your compliance team to focus on educating staff. Read More

FINRA Publishes Guidance on Reg BI and Form CRS

FINRA has issued new resources to assist financial firms in their efforts to comply with the SEC’s Reg BI and Form CRS by the rules’ compliance date of June 30, 2020. Read More

10 FAQs on How to Handle Customer Complaints

In this article, we’ll highlight some frequently asked questions when it comes to identifying and reporting customer complaints. Read More

SEC Refocuses on Enforcement of Crypto-Fraud

On August 29, 2019, the SEC announced that it has reached a settlement with a Dallas-based cryptocurrency dealer called Bitqyck to the tune of $10.1 million. Read More

Companies Still Unprepared for GDPR Compliance

Over half of UK businesses aren’t compliant with the GDPR more than 15 months after its introduction, despite many reporting data security incidents to the ICO, according to new research from Egress. Read More