The CCO’s Guide to Building an Effective Firm Element Program for 2025
Recent FINRA examination findings show that many firms struggle with [...]
14
03, 2025
14
03, 2025
Ethical AI Use in Finance from a Compliance Perspective
Compliance officers are increasingly facing the challenge of overseeing artificial [...]
14
02, 2025
The $11M Cost of Failed Supervision
A recent FINRA arbitration case resulting in over $11 million [...]
14
02, 2025
Webinar Recap: A Roadmap to IAR CE Compliance
Understanding and implementing IAR CE requirements continues to be a [...]
14
02, 2025
Navigating FINRA’s 2025 Exam Priorities
FINRA's latest Regulatory Oversight Report signals significant shifts in regulatory [...]
16
01, 2025
SEC’s $63M Recordkeeping Action: Lessons for CCOs
The Securities and Exchange Commission (SEC) recently announced charges against [...]
14
01, 2025
Cracked in Seconds: 2024’s Most Dangerous Passwords
As we bid farewell to 2024, it's time for our [...]
11
10, 2024
$6 Million Churning Scheme Leads to Reg BI Suspensions
In a recent development that underscores the importance of ethical [...]
16
09, 2024
SEC Cracks Down on Marketing Rule Violations
The Securities and Exchange Commission (SEC) has launched another enforcement [...]
16
09, 2024
Warren Challenges FINRA on Enforcement Decline
Senator Elizabeth Warren has once again set her sights on [...]
