ENTRIES BY Marianna Shafir Esq.
Inadequate anti-money laundering controls, failure to file suspicious activity reports, unapproved email accounts, and other recent regulatory violations.
How the Zoom + Smarsh integration helps financial services firms meet FINRA obligations and best practices for balancing remote work and compliance.
A breakdown of what’s outlined in the August 2020, post-COVID-19 risk alert from the SEC’s Office of Compliance Inspections and Examinations (OCIE).
Roundup of broker penalties from FINRA and the SEC for electronic communication violations and how to manage procedures to avoid similar infractions.