Blog

Summaries and explanations of the latest regulatory compliance announcements, reports and related stories.

Regulatory Briefs Olivia Scuteri, CAMS Regulatory Briefs Olivia Scuteri, CAMS

ThinkAdvisor Article: “CCO Hit by FINRA for Business Email Infractions”

ThinkAdvisor published an article on June 18, 2020 discussing the importance surrounding broker-dealers retention and review of electronic communications. FINRA took action against a firm’s Chief Compliance Officer (“CCO”) for failing to retain business communications and for using an outside email address to conduct business.

Read More