Marianna Shafir Esq.
ENTRIES BY Marianna Shafir Esq.

Firms and Brokers Penalized for Failing to Comply with Recordkeeping and Supervision Obligations

Failure to meet FINRA and SEC retention requirements results in serious consequences for firms and brokers, including fines and other disciplinary actions.

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Key Takeaways from SEC and FINRA 2020 Priorities Letters: Technology Leads Area of Focus

2020 will be the year that will extend the vision of supervisory review, primarily due to three reasons: a seemingly endless amount of new communications tools, many of which are released to employees without policy controls or user training that establish clear usage guardrails; unique tools with differing abilities to capture and control content that can be interactive and ephemeral; and because review now must include any employee whose actions can result in the loss of information that has business value or introduces the company to privacy, security, or other business risk.

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Marianna Shafir Esq.

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