Marianna Shafir Esq.
ENTRIES BY Marianna Shafir Esq.

Good Gravy: Firms and Brokers Lose Their Place at the Table for Noncompliance

The timely review of archived electronic communications is a first-line defense for financial firms against improper conduct by employees.

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The Future of Communications and Compliance in Financial Services

Adoption of social media in financial services and enhanced regulatory scrutiny should prompt a revamp of compliance procedures, policies and technology.

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New FINRA Rule 4111 to Address Financial Firm Misconduct

Requirements for new FINRA Rule 4111, which puts new regulatory obligations on “Restricted Firms” with high levels of risk-related disclosures.

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Firm Fined $4.75M for Failing to Supervise Employees’ Social Media, Among Them “Roaring Kitty” Trader

Regulators are probing how brokerages use social media such as TikTok, Twitter, Instagram, Facebook and other digital platforms to land new customers.

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FINRA Targets CCO and Firm for Undisclosed Outside Business Activities

As companies adopt a hybrid work model, supervision is critical for oversight of employees’ electronic communications in financial services.

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Marianna Shafir Esq.

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