Key Takeaways:
..On August 13, 2021, FINRA issued Regulatory Notice 21-29 (“RN 21-29”) to remind member firms that they must establish and maintain an adequate supervisory system, including written supervisory procedures...more
8/18/2021
/ Books & Records ,
Broker-Dealer ,
Business Continuity Plans ,
Compliance ,
Corporate Governance ,
Cybersecurity ,
Data Breach ,
Data Security ,
Due Diligence ,
Financial Industry Regulatory Authority (FINRA) ,
Internal Controls ,
New Guidance ,
Outsourcing ,
Professional License ,
Risk Management ,
Supervision ,
Third-Party Service Provider
For the past decade, anti-money laundering (“AML”) has been at the forefront of securities regulators’ priorities. Indeed, AML enforcement cases have resulted in some of the highest fines imposed by securities regulators,...more
6/7/2021
/ Anti-Money Laundering ,
Chief Compliance Officers ,
Compliance ,
Corporate Fines ,
Due Diligence ,
Enforcement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Financial Institutions (FFI) ,
Internal Controls ,
Regulatory Violations ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)