Four Things FINRA Wants You to Know about CCO Liability
For many firms, chief compliance officers (CCOs) are often [...]
For many firms, chief compliance officers (CCOs) are often [...]
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
According to FINRA’s monthly disciplinary actions, a firm member from [...]
Eversheds Sutherland recently completed its annual review of the disciplinary [...]
145 minutes. That's the average amount of time a person [...]
With November right around the corner, it’s important that compliance [...]
The Financial Industry Regulatory Authority (FINRA) is encouraging member firms [...]
Cybersecurity is one of the most significant issues facing the [...]
The Financial Industry Regulatory Authority (FINRA) is conducting an exam [...]
Now, perhaps more then ever, insurance companies and asset managers [...]