Tiffany Magri
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.

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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?

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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.

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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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Tiffany Magri

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