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The final rule recommends other best practices, such as “conducting periodic training, obtaining attestations, and periodically reviewing content that is publicly available on associated persons’ ...
MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...
How firms manage their obligations related to information collected from acquired customers is also being sought
Compliance could benefit from checking the chairman's social media posts
A peer shares the RIA's compliance manual, complete with numerous P&Ps
olicy issues are "part of a larger story about the intersection of finance and technology"
Use this form to survey staff on their use of social media
A subscriber-request story
The curious case of an airline baggage handler
Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for...
RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a ...