by Kristefor Lysne | Mar 25, 2021 | Risk and Compliance
According to a new study by Eversheds Sutherland, FINRA disciplinary actions show a surge in enforcement activity in 2020. What caught my eye was a dramatic increase in fines related to variable annuity cases—a 1062% increase! To put that in context, overall fines...
by Kristefor Lysne | Aug 23, 2019 | Risk and Compliance
Asset Management Compliance One of our clients came to us with a problem; how to comply with FINRA’s customer asset transmit rules for managed money and mutual funds. Our solution: an asset management workflow for tracking, monitoring, and reporting on the...
