ENTRIES BY Tiffany Magri
FINRA’s Lens on Off-Channel Communications: 6 Tips to be Exam Ready
This year at the FINRA Annual Conference, the spotlight was off-channel communications and what firms can expect during examinations.
Regulatory Hotspots: Good Enough Isn’t Good Enough
New tools are streamlining repetitive tasks, enhance supervisory review, and transform compliance practices. But how does that impact exam preparedness?
2023 Q1 Regulatory Update: Individuals and Off-channel Digital Communications
The major regulatory actions and fines against firms in Q1 of 2023 can help individuals understand the evolving realities of regulatory enforcements.
2023 Q1 Regulatory Update: Firms and Off-channel Digital Communications
The major regulatory actions and fines against firms in Q1 of 2023 can help firms understand the evolving realities of regulatory enforcements.
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