- Under qualified for oversight? Fines continue to rain down on firms for wrongfully using unregistered executives in key compliance supervisory positions.
- Research disclosure? FINRA has been watching closely to see that firms disclose potential conflicts of interest that could skew information in their research reports.
- It ain’t over till it’s over? Failing to pay fines and costs related to a FINRA action, or failing to adhere to the terms of a FINRA-sanctioned settlement agreement or arbitration ruling, continues to get firms and individuals in hot water.
- Moonlighting? FINRA has consistently punished members for participating in private securities transactions, for compensation, without prior written notice to, or prior written approval from, member firms.
- Supervisory shortcomings? While the nature of firms’ infractions differs widely, a common thread is the failure of those firms to have adequate supervisory systems in place to prevent infractions.
Many believe they’ll be in debt forever, the firm’s new report says.
CEOs in the Business Roundtable's latest survey saw a pall over future growth.
For one thing, evidence suggests that sustainable investing doesn't hurt returns.
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