You’ve seen the headlines:

  • North Winward Financial expelled from FINRA for failing to respond to FINRA requests;
  • Caldwell International Securities fined $1M for failure to develop an adequate supervisory system;
  • Boenning & Scattergood fined $100K by FINRA for failing to supervise a representative’s private security transactions

And, that is just from late 2016!

Today, compliance officers at broker-dealer and investment advisory firms are challenged by supervisory review like never before.  SEC/FINRA/IIROC regulatory scrutiny over supervisory practices has never been higher, while many firms continue to rely upon supervisory tools that were designed 10+ years ago, for email.

 

Watch this on-demand webinar for a:

  • Review of a sampling of recent supervisory mishaps
  • Discussion of best practices to address FINRA priorities outlined in the January 2017 Exam Letter
  • Overview of how Actiance can help

 

Speakers

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Mitch Atkins

Mitch Atkins is Founder and Principal of FirstMark Regulatory Solutions, Inc., a compliance consulting firm. Previously, he spent 20 years at FINRA where he was an examiner, district director, and senior vice president and regional director.

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Robert Cruz

Robert Cruz is Senior Director of eDiscovery & Information Governance for Actiance. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and Discovery cost and risk reduction.