To ensure that you are meeting your FINRA and SEC regulatory obligations, you must understand what is classified as a violation of those rules. Only then can you begin practices in that mitigate the risk and position you as an active advocate for compliance, instead of a violator or passive enabler for non-compliant activity.
Check out 4 Considerations for Meeting FINRA & SEC Regulations, a brief overview to help you understand what regulators are looking for, and measures you can take to achieve compliance, including:
- Internal supervision procedures to put in place
- Important questions to ask when creating your compliance strategy
- How to make the most of your compliance technology