The Financial Industry Regulatory Authority (FINRA) recently fined a broker for violating his suspension for text messaging regulations. Daniel William Staudacher was revealed by FINRA Public Disclosure to have already … Read more
The rigorous and complex text message archiving requirements of SEC and FINRA weigh on the minds of compliance officers and executives in the U.S. financial services sector. Aside from requiring … Read more
The year 2018 is nearing of its end, and for FINRA member firms and broker-dealers, this is now the best time to look back and evaluate the processes and systems … Read more
The holiday rush is on, but this does not mean that the U.S. financial industry regulators FINRA and SEC have slowed down their efforts of ensuring that all registered investment … Read more
With the BYOD approach in enterprise communication already the norm in the U.S. and U.K. finance sectors, the compliance risks facing companies for allowing their employees to use consumer-grade apps … Read more
WhatsApp is fast becoming a tool of choice for financial advisers to support their day-to-day tasks and communication with their clients. As such, many financial services organizations have begun to … Read more
In our previous post, we discussed the degree of sanctions and fines that Financial Industry Regulation Authority (FINRA) has levied against firms who have failed to establish compliant electronic communications … Read more
The Financial Industry Regulation Authority (FINRA) is slowly shifting its interest from levying heavy fines against firms to getting money back into the pockets of investors. That is according to … Read more
The hefty fines and weighty disciplinary FINRA actions for recordkeeping non-compliance are the primary drivers that motivate financial organizations to invest in solutions such as enterprise SMS archiver and secure … Read more
