Posts tagged Crowdfunding.
Over the last couple of decades, the securities self-regulatory organization FINRA (f/k/a NASD) informs its membership each year of what compliance risks are noted by its examination program. Those are risks firms should address and also might be harbingers of enforcement focus for the coming year. Years ago, it was the “Errico Letter” - a friendly reminder from NASD’s Head of Member Regulation. Then it became the Examination Priorities Letter. Now it’s a Report, but with a more useful assemblage of the Rules and Resources applicable to each risk called out.
Some risks have ...
Posted in: Cyber Security, FINRA
Tags: Anti-Money Laundering, Crowdfunding, Cybersecurity, data loss prevention, finra, Margin trading, Muni, risk assessments, SPAC, sweep exams