Key Takeaways:
..On August 13, 2021, FINRA issued Regulatory Notice 21-29 (“RN 21-29”) to remind member firms that they must establish and maintain an adequate supervisory system, including written supervisory procedures...more
8/18/2021
/ Books & Records ,
Broker-Dealer ,
Business Continuity Plans ,
Compliance ,
Corporate Governance ,
Cybersecurity ,
Data Breach ,
Data Security ,
Due Diligence ,
Financial Industry Regulatory Authority (FINRA) ,
Internal Controls ,
New Guidance ,
Outsourcing ,
Professional License ,
Risk Management ,
Supervision ,
Third-Party Service Provider
There has recently been a rash of similar anonymous whistleblower tips to public companies, each claiming that an unnamed company supervisor boasted about reaping profits from insider trading. The number of public companies...more
The SEC's Office of Compliance and Examinations (OCIE) issued a risk alert on July 10th about its observation of an apparent increase in sophistication of ransomware attacks on SEC registrants, including broker-dealers,...more