The Compliance Digest

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

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

Are you Doing This One Thing on your Form CRS?

The Securities and Exchange Commission (SEC) has released updated frequently asked questions guidance on the customer relationship summary, or Form CRS, that narrows in on a very specific area of disclosure - your firm’s disciplinary history. Read More

NASAA’s Annual Report Indicates Rise in Enforcement

In its 2020 Enforcement Report, NASAA reported that state securities regulators conducted 6,525 investigations in 2019, up 23 percent from the year before, and took 2,755 enforcement actions, up 33 percent from 2018. Read More

Why CCOs Can’t Ignore This Cybersecurity Month

The level of successful cyberattacks on financial institutions has shocked many over the past few weeks. In this article, we discuss why CCOs need to be focused on cybersecurity best practices, as well as some popular training topics to offer your firm members this year. Read More

FINRA Releases Q3 2020 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) publishes a quarterly Firm Element Advisory (FEA) to highlight current regulatory and sales practice topics for possible inclusion in Firm Element training plans. Read More

One Hack That Will Improve Your Virtual Conferences

With so many conferences and events going online, it can be difficult to get attendees on board. The feeling of “been there, done that” always lingering. Now, more than ever, companies need to get creative. So, how do you impress your attendees? Read More

Quest CE’s Best Selling E-learning Courses in 2020

In this article, we round up our “Top 10” bestselling Firm Element courses this year. Read More

FINRA Cracks Down on Senior Abuse this Summer

FINRA spent the summer cracking down on ill-fated brokers, including those who allegedly defrauded their vulnerable clients. In this article, we spotlight three of those incidents. Read More

Why G&E Tracking is More Important Now Than Ever

If you’re sitting there thinking to yourself “well, that’s just one less thing our compliance team has to worry about this year,” I may urge you to reconsider. Gift and entertainment-related risks haven’t gone away, they’ve just evolved, and so too will your policies and procedures to keep pace. Read More

Three Pro Tips for the MLB’s New Compliance Officers

What lessons can we bestow on the MLB's new compliance officers? In this article, we share several truths to running a successful compliance program. Read More