Marianna Shafir Esq.
ENTRIES BY Marianna Shafir Esq.

NYSE Fines Brokerage Firm for Failing to Supervise the Use of Smartphones

NYSE fined a brokerage firm $45,000 for failure to supervise brokers’ use of mobile devices by means other than phone calls, including texts, emails and social media.

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CCO Faces Personal Liability for Supervisory Failures

Many firms adopted digital communication and collaboration platforms without implementing the necessary policies and procedures to ensure compliance.

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SEC Releases 2021 Examination Priorities

A rundown of the highly-anticipated 2021 Examination Priorities from the SEC, which includes compliance programs and technology, Reg BI and cybersecurity.

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New Year, New Regulatory Rules and Sanctions

As financial firms have shifted to remote work, employees using unauthorized electronic communication and activities has resulted in compliance violations.

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2021 FINRA Priorities Report Targets Electronic Communications

The report reinforces the regulatory obligation for firms to include all communication channels approved for business in their recordkeeping and supervisory processes.

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Marianna Shafir Esq.

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