The Compliance Digest

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

NASAA Releases 2018 Enforcement Report

In 2017, NASAA U.S. members reported nearly $486 million ordered returned to investors and nearly $89 million in fines/penalties. 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

What you Need to Know about FINRA’s ACM Rule

Still need to comply with FINRA's annual compliance meeting requirement in 2018? Provided in this article is a summary of the rule and how to comply. Read More

Making a Fourth Quarter Compliance Comeback

While the compliance comeback is no easy feat, I’m here to tell you that there’s still time, and by following the below training tips you can have your program up and running before the play clock expires. Read More

FINRA Fines up in First Half of 2018

FINRA fines have increased slightly in the first half of 2018, while restitution has dropped from last year, according to a recent report conducted by Eversheds Sutherland. Read More

The 25 Worst Passwords of 2017

For the seventh consecutive year, SplashData announced its annual "Worst Passwords List," highlighting the insecure password habits of today's internet users. Once again, "123456" and "password" maintained top positions in the number one and two spots, while "starwars," held onto the number sixteen spot as the movie, Star Wars: The Last Jedi was released. Seems as though people drew inspiration from a galaxy far, far away to protect their data. Read More

FINRA Files First Cryptocurrency Disciplinary Action

Investors mined more than 81 million HempCoin through late 2017 and bought/sold the security on two cryptocurrency exchanges, according to FINRA. Read More

CE Council/FINRA Request Comment on CE Program

The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons. Read More

Deadline Nears for NY Sexual Harassment Training

For years, fewer than a handful of states in the United States have required sexual harassment training. Connecticut and California were the leaders. However, in light of the #MeToo movement, New York State and New York City have joined the movement and now require sexual harassment training. Read More

How to Improve your WSP’s Usability

To increase employee compliance, we’ve outlined several tips to strengthen your internal policies and procedures management process. Read More