Category Archives: Trade Monitoring

Anti Money LaunderingCompliance ManagementIT Risk ManagementRegulatory FinesTrade Monitoring
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Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Huge Surge in Financial Sanctions

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, Eversheds Sutherland (US) Partners Brian L. Rubin and Adam C. Pollet found that in 2021 the amount of fines […]...
Anti Money LaunderingBranch and Rep ManagementCompliance ManagementIT Risk ManagementNewsReg BITrade MonitoringVendor Risk Management
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2022 Report on FINRA’s Examination and Risk Monitoring Program

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 Program (the Report) provides firms with information that may help inform their compliance programs. For […]...
FeaturedReg BIRegulatorsTrade Monitoring
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OCIE’s Risk Alert for Broker-dealers and Registered Advisors

The SEC Office of Compliance Inspections and Examinations (OCIE) announced on August 12th 2020 Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers, highlighting the various risks that they see, and that need to be addressed by firms. Below are the our highlights from SEC’s OCIE Publication. La Meer’s GRACE suite of cloud […]...