This week in Compliance Into The Weeds, Matt, and Tom takes a deep dive into the two recent FINRA enforcement actions involving the trading platform Robinhood.
Some of the issues we consider are:
1.) What were the underlying facts?
2.) Were red flags missed, consciously avoided, or outright See more +
This week in Compliance Into The Weeds, Matt, and Tom takes a deep dive into the two recent FINRA enforcement actions involving the trading platform Robinhood.
Some of the issues we consider are:
1.) What were the underlying facts?
2.) Were red flags missed, consciously avoided, or outright ignored?
3.) Where was compliance?
4.) Why must the human element always be present in compliance?
5.) Why business continuity is a compliance issue.
6.) What about the IPO? See less -
