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.
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.