Five Tips to Prevent Off-Channel Communications |
As more firms continue to get dinged for off-channel communication issues, here are five recommendations every compliance team should be considering. |
|
|
| Read Now |
|
|
SEC Proposes Rule to Address Growing Use of AI |
In a 3-2 vote, the SEC proposed new rules targeting the use of predictive data analytics and artificial intelligence (“AI”) by investment advisers and broker-dealers. |
|
|
| Read More |
|
|
FINRA Issues Notice on Regulatory Element CE |
In a notice released last week, FINRA is reminding registered persons about an upcoming training deadline and sharing consequences for missing the date. |
|
|
| Read More |
|
|
How to Apply Regulatory Element CE to IAR CE |
Did you know Regulatory Element CE can be applied to the "Products and Practices" component of IAR CE? Follow these brief instructions to learn more! |
|
|
| Read More |
|
|
