News & Analysis as of

Red Flags Rule Financial Industry Regulatory Authority (FINRA)

Sheppard Mullin Richter & Hampton LLP

Financial Crimes Makes Debut in FINRA Annual Priorities Preview

FINRA punctuated its annual post-New Year’s Report on FINRA’s Examination and Risk Monitoring Program (the “Report”), by including a new target category “Financial Crimes.” The inclusion of this category is noteworthy not...more

UB Greensfelder LLP

The Trouble With The “Should-Have-Known” Standard, As It Applies To Red Flags

UB Greensfelder LLP on

Last year, I wrote a piece called “Wedbush Learns That It’s Not Enough Just To Spot Red Flags.” As the title suggests, it analyzed an SEC decision in which Wedbush was sanctioned because it failed in several respects to...more

Bass, Berry & Sims PLC

Avoiding an SEC Whack after a Cyber Hack

Bass, Berry & Sims PLC on

Adding insult to injury, the Securities and Exchange Commission (SEC) fined Voya Financial Advisors Inc. (VFA) $1 million and ordered a comprehensive two-year review by a compliance consultant, following a cyber-attack on...more

Katten Muchin Rosenman LLP

Bridging the Week - February 2015 #4

CME Group Reminds Members of Regulatory Requirements for EFRPs and Block Trades Through Disciplinary Actions: The CME Group brought and resolved multiple disciplinary actions against various members and non-members related to...more

Morrison & Foerster LLP

FINRA Focuses on Anti-Money Laundering Procedures and Red Flags

Last week, the Financial Industry Regulatory Authority (FINRA) publicized penalties against three companies – as well as four associated individuals – that it found had failed to establish and implement adequate procedures...more

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