Tag: FINRA

Compliance teams across the financial sector are grappling with overwhelming volumes of communications. From emails to messaging apps, the daily flood of interactions now...

Compliance teams in financial services are facing unprecedented pressure as communication volumes soar across chat apps, messaging platforms, and traditional email. Regulatory scrutiny continues...

Using a document management system (DMS) has become an effective way for organisations to protect sensitive data while meeting compliance requirements. These systems help...

Netcapital, a FinTech firm operating a digital private capital markets ecosystem, has announced a fresh funding deal under Nasdaq rules.

The asset management sector is entering a new regulatory era, marked by heightened scrutiny and evolving marketing rules. In 2024 alone, the US SEC issued a record number of enforcement actions targeting fund marketing activities.

Retail investors have become a powerful force in the options market, with their share estimated to range between 45% and 60%, depending on how it's calculated. Although their activity surged during the pandemic, it has remained strong, fuelled by the appeal of options as a versatile and leveraged instrument that supports a range of short-term and event-driven strategies.

In the evolving landscape of work, particularly in hybrid and remote settings, tools that enhance connectivity and engagement, like Zoom's Workvivo, are becoming indispensable for fostering a vibrant workplace culture.

Financial services firms are being urged to stay vigilant as reports emerge of executives and employees being impersonated in WhatsApp scams that have led...

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...