For three straight years, FINRA fines have continuously reduced, resulting in firms not having to pay hefty amounts when in violation of regulations. Firms can have some spare funds left … Read more
The coronavirus pandemic kept people from staying close with each other as the lockdowns kept people indoors. One of the ways to stay in touch with friends, families, co-workers, and … Read more
Many companies and organizations record voice call to obtain evidence should they need to resolve disputes. However, it’s vital to understand that mobile call recordings are not always admissible in … Read more
Many financial firms worldwide are continuing their operations during the pandemic. While most of these firms have the technological capacity to support their core operations remotely, many are still having … Read more
Call recording is one of the most important, yet often undervalued features in today’s mobile phone market. Professionals and personal users alike can benefit from real-time recording of mobile calls … Read more
Most employees now work from their homes due to the coronavirus pandemic, and this resulted in many bankers having a more relaxed working environment than usual. The ones with many … Read more
For over just five months, the coronavirus pandemic has created unprecedented turmoil in the financial regulatory and compliance sector. While regulators have eased specific regulations in recognition of the persisting … Read more
The National Futures Association is an independent self-regulatory organization that is designated as a registered futures association by the Commodities Futures Trade Commission. The NFA regulates the futures and derivatives … Read more
Call monitoring is an essential tool that financial organizations should take advantage of not only to stay compliant, but also to build a better relationship with their clients. By monitoring … Read more
In our previous post, we discussed the critical elements for an effective call monitoring program, and how financial firms increase their exposure to non-compliance if they fail to establish one. … Read more
