Regulatory Roundup 2021

A look back at 10 of the most impactful recordkeeping violations and penalties

FINRA and SEC continued to take actions on compliance violations in a landmark year of changing attitudes of in-office attendance.

As we review 2021’s major fines and infractions, patterns emerge and reveal regulatory trends that persist as organizations solidify their shift to permanent hybrid and remote work.

 

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In this year’s roundup, you’ll learn:

  • The past year’s most impactful fines imposed or actions taken on firms and individuals
  • Changing regulatory trends and landscape
  • Recommendations and insights to better supervise electronic communications to reduce risk and liability

Get your copy of Regulatory Roundup 2021 and avoid these common — and costly — fines.