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Electronic communications
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FINRA fines Landolt Securities for deficient supervision of electronic communications
Broker-dealer’s policies and procedures for monitoring representative’s comms were unclear and inadequate.
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Dubai’s regulator fines brokerage $1.37m for inadequate compliance resources
Another case of prolific incomplete electronic communications recordkeeping and monitoring failures.
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How technology can support a culture of compliance
Organizations must be strategic and challenging when selecting technology platforms to aid compliance.
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Comms monitoring takes centre stage with global regulators
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
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How to get a handle on managing electronic communications
Practical advice on how to approach complying with recordkeeping requirements and federal securities laws.