FINRA’s Fines and Sanctions Hit Record High in 2016

According to the annual analysis conducted by Eversheds Sutherland (US) LLP, FINRA reported a dramatic increase in fines to a recordbreaking $176 million over the course of 2016 – an 87% increase over 2015.

Overall, fines have increased by 529% since FINRA assessed fines of $28 million in 2008.

With books and records and reporting continuing to be one of the top enforcement issues of the year, it is important to understand how to ensure your compliance practices meet regulator standards.

In this webinar, Smarsh and law firm Eversheds Sutherland LLP will cover:

  • The top regulatory enforcement issues from 2016
  • Emerging trends from FINRA and SEC actions, including recent “supersized” fines of $1 million or greater
  • What the regulators will be focusing on in 2017

Watch Here

You can download the full set of slides for this presentation here.