Compliance Management – La Meer Inc.

Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

March 8, 2022
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Anti Money Laundering, Compliance Management, IT Risk Management, Regulatory Fines, Trade Monitoring

All information Quoted from the article https://us.eversheds-sutherland.com/NewsCommentary/Press-Releases/249220/Annual-Eversheds-Sutherland-Analysis-of-FINRA-Disciplinary-Actions-Shows-Huge-Surge-in-Financial-Sanctions?utm_source=vuture&utm_medium=email&utm_campaign=vuture-emails March 8, 2022 Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2021. By reviewing FINRA’s monthly disciplinary reports, press releases and online database,…

2022 Report on FINRA’s Examination and Risk Monitoring Program

February 10, 2022
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Anti Money Laundering, Branch and Rep Management, Compliance Management, IT Risk Management, News, Reg BI, Trade Monitoring, Vendor Risk Management

FINRA issued this risk alert on Feb 9th 2022. All information here is Quoted from the FINRA's document. Please refer to FINRA's document in the below link for complete information https://www.finra.org/rules-guidance/guidance/reports/2022-finras-examination-and-risk-monitoring-program The 2022 Report on FINRA’s Examination and Risk Monitoring…

FINRA’s Examination and Risk Monitoring Program 2021

February 11, 2021
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Anti Money Laundering, Branch and Rep Management, Compliance Management, Intergrated Client Management, IT Risk Management, Reg BI, Regulators

FINRA released its 2021 Report on FINRA’s Examination and Risk Monitoring Program on Feb 10th 2021 that sets the direction for the market for 2021. Please Note: All information here is as stated in FINRA's report. This article is only…