An Electronic Communication Network (ECN) is a type of computerized system that facilitates trading financial products, such as currencies or stocks, by connecting buyers and sellers directly without ...
In light of the release of FINRA's "2019 Report on Examination Findings and Observations," it's worth discussing the rapidly growing compliance challenges and risks for financial institutions (FIs) in ...
SEC examiners are concerned that the way mobile and personally owned communications devices are used by advisers pose challenges in their meeting obligations under the Books and Records Rule and the ...
On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the Division’s priorities highlight ...
NEW YORK(Thomson Reuters Regulatory Intelligence) - In Financial Industry Regulatory Authority's (FINRA's) most recent disciplinary report, a case involving a registered representative's use of ...
Chief Growth Officer of Tynker, a leading K-12 edtech platform that has helped more than 100 million kids learn to code. Whether running a small startup or an entire nation, great leaders must ...
Key market opportunities include AI-driven analytics for real-time intelligence, advanced cyber intelligence solutions to ...
The Polish parliament has recently adopted an act prohibiting smishing and CLI spoofing among other forms of abuse of electronic communication. New regulation came into force on 25 September 2023. The ...
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