Company Blog

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 …

Culture and Technology Best Practices to Mitigate Insider Trading Risk

Jan 8, 2019

Anyone who has been in the financial services industry for any length of time knows that insider trading is a perennial focus area for the …

Unpacking the SEC’s Four-Year Strategic Plan

Dec 11, 2018

In its recently-released Strategic Plan, the SEC outlined and reiterated its commitment and focus on pursuing three primary goals over the course of the next …

Insights from the SEC Enforcement Division’s Annual Report

Nov 15, 2018

Each year, the SEC’s Enforcement Division issues an Annual Report summarizing its activities and initiatives in the most recent fiscal year. The 2018 report, released …

Five Compliance Considerations for M&A in Financial Services

Nov 1, 2018

As anyone who has ever been involved in a company merger or acquisition can attest, a lot of work goes into the due diligence process …

What are the Core Functions of Compliance?

Oct 23, 2018

What is the role of compliance? If you ask that question of employees and senior leaders in some firms, you might hear “to enforce the …

Are You Able to Accurately Monitor Employee Political Contributions?

Oct 12, 2018

With the 2018 midterm elections right around the corner, fundraising efforts are continuing to ramp up for political candidates on both sides of the aisle. …

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