ENTRIES BY Robert Cruz
FINRA Examining Supervisory Practices for Options Trading
A brokerage app was fined $70M for systemic supervisory failures and harm to customers for not alerting them to the potential risk of certain options.
Time to Get Used to Hybrid Work: Lessons From FSI OneVoice
When polled, 63% of the audience saw retail investing as the biggest opportunity heading into 2022. The biggest concern? TikTok and WeChat.
E-Discovery Continues Its Move to the Left
How firms should evaluate their discovery solution’s abilities to identify, collect and enable review of modern communications like Slack, Teams and Zoom.
The Hybrid Workplace: Balancing Zoom and Regulatory Compliance
As financial services organizations adopt new technology for communications, they must ensure their compliance solutions are purpose-built to support those evolutions.
How the Federal Cybersecurity Order Impacts Regulatory Compliance
How the recent federal executive order on cybersecurity affects regulated private sector industries like healthcare, banking and energy.
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