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The supervisory control system must:
For firms reporting $200m or more in gross revenues in calendar year (n) a report in calendar year (n+1) must be submitted to senior management, which must include, for year (n):
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.
Julie DiMauro3 min read
Disciplinary decisions issued August 10 – 16, 2024.
Thomas Hyrkiel4 min read
BCPs can help your organization deal with difficult situations, ensuring it can continue to function with as little disruption as possible.
Julie DiMauro<1 min read
Disciplinary decisions issued August 3 – 9, 2024.
Thomas Hyrkiel3 min read
Disciplinary decisions issued July 27 – August 2, 2024.
Thomas Hyrkiel5 min read
The firm was one of several businesses recently censured for a failure to maintain well-functioning and appropriate WSPs.
Julie DiMauro5 min read
Disciplinary decisions issued July 20 – 26, 2024.
Thomas Hyrkiel2 min read
Commerce presses on with measures on AI risk mitigation, adding to a slew of measures this year from US regulatory agencies.
Julie DiMauro4 min read