Marianna Shafir Esq.
ENTRIES BY Marianna Shafir Esq.

Electronic Brokerage Firm Fined Over 38 Million Dollars for Anti-Money Laundering Violations

Inadequate anti-money laundering controls, failure to file suspicious activity reports, unapproved email accounts, and other recent regulatory violations.

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How Zoom + Smarsh Helps Financial Firms Maintain Work-from-Home Compliance

How the Zoom + Smarsh integration helps financial services firms meet FINRA obligations and best practices for balancing remote work and compliance.

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SEC Risk Alert: Six New COVID-19 Compliance Risks Explained

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).

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SEC Fines Firm One Million Dollars for Compliance Violations

Roundup of broker penalties from FINRA and the SEC for electronic communication violations and how to manage procedures to avoid similar infractions.

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Cheat Sheet: How to Prepare for Regulation Best Interest (Reg BI) and Form CRS Deadline

What advisors and brokers should know about SEC’s Regulation Best Interest (Reg BI) and client relationship summary (CRS) forms, and how to stay compliant.

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Marianna Shafir Esq.

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