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FINRA’s Residential Supervisory Location (RSL) rule allows firms to designate an associated person’s private residence as a non-branch location where certain supervisory activities are…
FINRA Charges Firm for Supervisory Failures In October, ViewTrade Securities, a broker-dealer, found itself facing regulatory action by FINRA, worth $40,000 in fines, for…
Preparing Compliance Teams for Emerging Challenges 2024 has been a year of maturation for cryptocurrency.
Can The Past Inform The Future? With a new administration on the horizon, businesses are bracing for significant changes that could reshape the regulatory…
The Securities and Exchange Commission (SEC) has made significant strides in its enforcement efforts against insider trading, particularly in the realm of “shadow trading.
As Bonus Caps Increase, So Could Risk Barclays recently became the first major British bank to significantly raise the bonus caps for its senior…
By discouraging bribery as a method of gaining competitive advantage, the FCPA helps level the playing field for all businesses — which, in turn,…
How the SEC’s ‘Look Back’ Provision Can Affect Employee Compliance Recently, the US Securities and Exchange Commission (SEC) charged Obra Capital Management, LLC with…
With regulations constantly changing worldwide, understanding Ireland’s Central Bank’s IAF (Individual Accountability Framework) instituted in March 2023 is crucial for business.
