Tag: FINRA

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.

As the end of the year draws near, financial firms are under the gun to complete their annual FINRA and state/jurisdiction registration renewals. With deadlines fast approaching, it's critical to have a robust framework in place for timely, cost-effective, and efficient renewals, not just for this year but for the future as well.

The SEC exam priorities for 2024 underscore the importance of compliance and recordkeeping within financial services. The focus will be on practices and products...

The private markets have witnessed a substantial increase in managed assets over the last decade, attracting the attention of U.S. regulators aiming to enhance transparency through expanded regulation. With these regulatory developments, it's time to re-evaluate the Global Investment Performance Standards (GIPS), which have evolved from being the gold standard for investment performance presentation to a tool that assists advisers in meeting new regulations.

Goldman Sachs & Co. has settled charges with the Securities and Exchange Commission (SEC) for neglecting to supply comprehensive and precise securities trading details, otherwise known as blue sheet data. The prominent financial institution has consented to a penalty of $6m to conclude the SEC's allegations.

In the past few months, both the SEC and CFTC have targeted numerous Wall Street firms for extensive recordkeeping oversights. This resulted in eye-watering penalties surpassing $1.5bn. Both major and minor firms should anticipate that this assertive enforcement will remain unrelenting.