Company Blog

CFTC Issues its First Enforcement Manual

Jun 12, 2019

If your firm is subject to CFTC oversight, you now have a new tool at your disposal. In May, the CFTC’s Division of Enforcement (DOE) …

Compliance Plays for 2019

Jun 5, 2019

It is mid-year and certification time is over. As we all look to the promise of nicer weather, it’s an appropriate time to assess the …

DOJ Compliance Program Guidance and Implications for Technology

May 30, 2019

The U.S. Department of Justice (DOJ) Criminal Division released an updated guidance document on April 30 titled “The Evaluation of Corporate Compliance Programs.” This document, …

Achieving Stress-Free Compliance

Apr 30, 2019

In KPMG’s Ten Key Regulatory Challenges of 2019, new technology trends around data and cybersecurity ranked among the top concerns for CCOs this year. However, …

Three Recommendations for Better Compliance from "Tipper X"

Mar 26, 2019

Imagine you are 28 years old and your friend has just asked you to go for a swim in their palatial looking pool. What could …

Partnering with HR for Compliance Success

Mar 11, 2019

It’s no industry secret: it’s hard to be in a Compliance role. Whether correct or not, Compliance can often be perceived by others in the …

Digital Transformation: What does it mean for Compliance?

Feb 19, 2019

Digital transformation is the term du jour that is almost inescapable across all business sizes and industries; defined by Gartner as, “the process of exploiting …

FINRA Announces 2019 Examination Priorities

Feb 6, 2019

In its annual letter announcing its risk monitoring and examination priorities for the coming year, FINRA identified both new priorities and ongoing concerns. However, FINRA …

Elements of an Effective Campaign Contributions Monitoring Program

Jan 30, 2019

The 2018 midterm elections are behind us but candidates are already declaring their intentions to run for office in 2020.  For financial services firms with …

FINRA’s Examination Findings Highlight Both Suitability Concerns and Best Practices

Jan 22, 2019

In its recently-released, second-annual Report on FINRA Examination Findings, the Financial Industry Regulatory Authority (FINRA) highlighted observations gleaned from its firm examination program. The intent …

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