When designing a compliance and ethics program, organizations want one that not only will prevent, find and fix problems, but also one that will meet the US Department of Justice’s stringent standards if an incident occurs. To help firms do this successfully, the DOJ recently released, quite exactly, what it considers when evaluating the effectiveness of a company’s compliance program. Read More

Earlier this month, the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 19-18 providing guidance to member firms to help identify suspicious activity that may be reportable under FINRA Rule 3310 (Anti-Money Laundering Compliance Program). Read More

The U.S. Securities and Exchange Commission is looking for a crypto specialist attorney advisor, according to a job posting on USA Jobs, an official government jobs portal. Read More

At Quest CE, we’re big believers in having great reports. Organizing your data in a way that allows you to see what’s important at the time you’re looking at it, is crucial for compliance. To help aid in this process, we wanted to share some of our favorite system reports, show you where to find them and explain what makes them so valuable. Read More

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q1 2019 Firm Element Advisory (FEA). Read More

The following article dispels common cybersecurity myths to enhance your firm’s overall cybersecurity intelligence and preparedness. Read More

Curious where FINRA focused most of its attention in 2018? Law firm, Eversheds Sutherland, is here to answer that question as they took a look back at FINRA’s monthly disciplinary reports, press releases, and online database. Read More

In this article, we offer five tips to help reinforce the importance of having your representatives pre-disclose potential conflicts of interest. Read More

According to FINRA’s February Disciplinary Actions Notice, a registered representative from Chesapeake, Virginia was assessed a deferred fine of $2,500, suspended from association with any FINRA member in all capacities for three months and required to complete 10 hours of continuing education for failing to complete his Firm Element continuing education. Read More

The rule changes, which take effect February 7, 2019, were designed to enhance the MSRB’s fair practice rules relating to advertising. Read More