Builder of Investment Models Deviates From Blueprints Employee’s Rogue Remodeling Costs Builder Plenty -
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered...more
5/8/2025
/ Algorithms ,
Annuities ,
Compensation & Benefits ,
Employee Benefits ,
Enforcement Actions ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Life Insurance ,
Registered Investment Advisors ,
Retirement Plan ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
In October 2024, FINRA released its blueprint for the securities industry’s use of the metaverse — the metaverse report. The metaverse, often framed as “the next evolution of today’s internet,” is a loosely defined term used...more
5/6/2025
/ Data Privacy ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
FinTech ,
Information Technology ,
Innovative Technology ,
Investors ,
Metaverse ,
Regulatory Requirements ,
Securities Regulation ,
Virtual Currency
On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more
2/14/2025
/ Annual Reports ,
Annuities ,
Anti-Money Laundering ,
Artificial Intelligence ,
Cybersecurity ,
Data Breach ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Investment Fraud ,
Popular ,
Regulatory Oversight ,
Regulatory Violations ,
Risk Management ,
Third-Party Risk
The Mysterious Boundary Beyond Which “Personal” Relationships Jeopardize a Director’s Independence -
In a recent enforcement action, the SEC concluded that the relationship between James Craigie and an officer of Church &...more
2/11/2025
/ Blockchain ,
Board of Directors ,
BSA/AML ,
Consumer Insurance Products ,
Corporate Governance ,
EFTs ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Fiduciary Duty ,
Investment ,
Investment Contract ,
Publicly-Traded Companies ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Variable Insurance
Artificial intelligence (AI) can and is already changing how firms and registered representatives recommend financial products to customers. AI has the potential to enhance recommendations that registered representatives...more
2/7/2025
/ Artificial Intelligence ,
Consumer Financial Products ,
Employee Benefits ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Investment ,
Investment Adviser ,
Machine Learning ,
Retirement ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation