FINRA’s Top Exam Priorities for 2015
FINRA calls BDs’ failure to put clients first a “recurring challenge” in its 2015 priorities report.
Cybersecurity: What the Regulators May Do
Cybersecurity is going to be “a ‘hot’ regulatory issue for the foreseeable future,” according to the law firm Sutherland.
It Pays to Fight Back Against SEC, FINRA: Survey
Nearly half of advisors, BDs and their reps that litigated got off lighter than they would have if they had settled, a Sutherland study found.
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: Sutherland
An SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.
FINRA’s 5 Biggest Fine Categories in 2013
Fines from one category of offenses shot up a whopping 132%, according to the law firm Sutherland Asbill & Brennan.
CCOs Under Fire: When Enforcers Get Burned by Regulators
While chief compliance officers are on the frontlines of catching wrongdoing, they can also become targets of regulators for their own misdeeds.
FINRA Fines On Track to Fall 41% This Year
The total dollar amount is projected to hit a three-year low, according to the law firm Sutherland Asbill and Brennan.
What ‘The Social Network’ Can Teach Advisors About Avoiding Enforcement Actions
Online communications make advisors vulnerable to compliance slip-ups, two attorneys warn, using quotes from the film "The Social Network" to illustrate their points.
SEC, FINRA, State Exam Execs Lay Out Priorities
Priorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
Playing With Fire: CCOs and Lawyers Who Got Burned by Regulators
After analyzing disciplinary actions taken by the SEC and FINRA against CCOs and in-house counsel from June 2011 through June 2012, Sutherland found a slew of violations.