Tag: FINRA

In the complex arena of financial regulation, the challenges are akin to a non-stop deluge of requirements that continually evolve and expand.

FINRA has released its 2025 Regulatory Oversight Report, providing critical guidance for member firms to fortify their compliance programs. This report underscores FINRA’s commitment...

CoreNest Capital, a venture capital firm specialising in financial innovations, has announced a strategic investment in Texture Capital Holdings.

In the financial regulatory landscape, understanding and adhering to FINRA's Rule 2090, commonly known as the KYC rule, is crucial for brokerage firms.

FINRA enforces rules designed to protect investors from unethical practices and prevent financial losses.

LinkedIn has become an essential tool for professionals, especially within the financial services industry. According to Theta Lake, with its impressive networking capabilities, LinkedIn...

In the financial services sector, tracking employee compliance such as licensing, registrations, and continuing education is a complex task.

With regulatory fines for inadequate eComms surveillance soaring in 2024, eflow Global has introduced an upgraded version of its AI-driven platform, TZEC.

The U.S. Securities and Exchange Commission (SEC) has recently made significant adjustments to its regulatory framework, introducing two pivotal rules, Rules 3a5-4 and 3a44-2, collectively known as the Final Rules.

In the ever-changing world of risk management, where the challenges are formidable and constantly evolving, the role of risk executives and their teams is more vital than ever. The cornerstone of this ecosystem, financial crimes compliance, requires not just vigilance but also a forward-thinking approach to innovation.