The Compliance Digest

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

Don’t Fall Victim to this FINRA Phishing Scam

FINRA is warning firms to beware of a recent phishing scheme that involves fraudulent emails that claim to be from FINRA officers. Read More

Amp Up Your Digital Strategy with CE Voucher Codes

As businesses continue to shift during this time, so too have many of their marketing and client relationship strategies. In this article, we discuss how some companies are working digital CE voucher codes into their continuing education programs as a way to provide relief and stay connected with advisors. Read More

Tips to Maintain a *Remote* Culture of Compliance

In this article, we offer three tips to strengthen the foundation of your culture of compliance, while working remote. Read More

CE Council Releases Q1 2020 Firm Element Advisory

Find out which regulatory topics the Council on Continuing Education (CE Council) recently published in its Q1 2020 Firm Element Advisory (FEA).
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Continuing Education Guidance in a Remote World

When unforeseen events arise, “business as usual” can be thrown for a loop. So in a time when organizations across the world are adjusting to remote work, it’s become even more important for companies to adopt digital strategies to stay connected with their customers. Read More

What you Need to Know about FINRA’s CE Proposal

If you're involved in CE oversight at your firm, the following article summarizes FINRA's proposal to enhance it's continuing education program for securities professionals. Read More

FINRA Urges Firms to Review Pandemic-Related BCP

Due to the recent outbreak of coronavirus disease (COVID-19), FINRA has issued a notice reminding firms to consider business continuity planning in the event of a pandemic in the United States. Read More

FINRA’s Top Five Fine Categories from 2019

According to the report, FINRA fines decreased to $44 million in 2019 from $61 million in 2018, a decline of 28%. Read More

Reach Every Advisor by Diversifying your CE Delivery

As an insurance provider, you know how impactful it can be to offer complementary continuing education (CE) to the advisors you work with, but are you also aware of the different ways in which CE can be delivered to attract various types of learners? Read More

SEC Offers Tips to Bolster Firms’ Cybersecurity Plans

The OCIE's "Cybersecurity and Resiliency Observations" goes into significantly more detail than previous risk alerts released on the topic and is formatted in a user-friendly format that allows firms to easily reflect on their own cybersecurity practices. Read More