ENTRIES BY Tiffany Magri
SEC’s Warning to RIAs on Implementation of the Marketing Rule
What registered investment advisors need to know about the SEC’s aggressive focus on the new Marketing Rule that takes effect in November 2022.
The SEC’s Review of Personal Phones for Business Communications
Financial services firms must have processes and technology in place to establish, maintain, and enforce supervisory systems for mobile business communications.
Debunking Mobility Myths in Financial Services
Financial firms are still hesitant to allow text messaging and mobile apps for business, but prohibition is not realistic and may be hindering business.
FINRA Cybersecurity Conference: More Data, More Problems
As financial firms generate more data, the SEC and FINRA are emphasizing the increase of cyberattacks and stressing the importance of cybersecurity.
2022 SEC Exam Priorities: Increased Need for Compliance Resources and Support
Collaborative platforms, hybrid work, retail investing and demands for new communications tools in financial services require updated compliance strategies.
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