Blog
Summaries and explanations of the latest regulatory compliance announcements, reports and related stories.
BROKER/DEALER COMPLIANCE OFFICERS FACE SURGING PERSONAL LIABILITY RISKS
Since the start of the pandemic, has your firm adopted digital communication and collaboration platforms? If yes, have policies and procedures been implemented to prevent mistakes and misbehaviors? I pose the above question to those Compliance Officers who have been overseeing compliance at a FINRA-registered firm from their home office.