ENTRIES BY Tiffany Magri
Smarsh Advance Recap: Cyber Compliance for Wealth Management — Who Owns It?
Regulatory scrutiny is focusing on cyber compliance. Does your firm’s cybersecurity posture include cyber compliance processes and procedures?
Digital Communications Compliance Highlighted at the FINRA 2022 Advertising Regulations Conference
FINRA’s recent Advertising Regulations Conference answers many questions on how to better monitor and supervise digital communications and social media.
AI-Powered Risk Management: Making the Case to Regulators
Instead of sifting through an immeasurable amount of data, AI models can streamline how you review and manage risk in your communications data.
Compliant Advertising: The Marketing Rule and Finfluencers
Learn how the new SEC Marketing Rule expands on the current books and records rule to clarify the the use of new digital communication tools.
FINRA Fines Doubling for Mid and Large Firms
Ever wondered how regulators determine the fine amount for recordkeeping infractions? We break it down here, and explain why FINRA is doubling the amount.
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