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The UK Financial Conduct Authority (FCA) just released the latest issue of Market Watch, its regular newsletter on market conduct and trade reporting. Issue 68 focuses on gaps in...
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Records Retention, SEC Compliance
Last week, an inquiry opened by the U.S. Securities and Exchange Commission (SEC) into how a number of Wall Street banks are keeping track of their employee communications grabbed...
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After 20 years supporting its member Broker-Dealers at FINRA, Chip Jones knows a thing or two about compliance. Here, after nearly a year with Global Relay as its Executive Vice...
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FINRA's Best Practice Advice is Timely Amid More Prevalent Cloud-Based Strategies for Advisors
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