Next Talk
What Compliance Executives must know about the recent SEC and FINRA regulations
The Security and Exchange Commission and FINRA are enforcing regulations that are placing a heavy cost on firms who fail to stay compliant. Just recently, the Securities and Exchange Commission announced that 16 firms—comprising broker-dealers, investment advisers, and dually registered entities—were being fined over $81 million for off-channel communications compliance failures. This brings the total fines levied…
