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Chip Jones

Compliance, Social media

How Financial Firms Can Maximize Social Media Use While Minimizing Risks
By Chip Jones on June 4, 2021

As more financial firms use social media to reach and engage with customers, regulators including the SEC and FINRA still require that they preserve social media posts and...

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Compliance

SEC 2021 Examination Priorities: Reg BI, Operational Resilience, and a Question of Resources
By Chip Jones on March 10, 2021

The U.S Securities and Exchange Commission released its Division of Exams 2021 Examination Priorities last week, outlining the key risks, trends and examination priorities for the year...

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