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FINRA Issues Guidance Clarifying Liability for Chief Compliance Officers

On March 17, the Financial Industry Regulatory Authority (FINRA) issued a notice, clarifying when chief compliance officers (CCOs) will face liability as supervisors under FINRA Rule 3110. Under Rule 3110, member firms are...more

3/28/2022  /  Chief Compliance Officers , Compliance , Corporate Counsel , Financial Industry Regulatory Authority (FINRA) , Liability , New Guidance , Securities and Exchange Commission (SEC)

New FINRA Guidance Suggests Increased Scrutiny of Member Firms’ Relationships with Third-Party Vendors

Who Needs to Know FINRA member firms. - Why It Matters On August 13, the Financial Industry Regulatory Authority released a regulatory notice to member firms, clarifying their existing obligations on the supervision of...more

8/20/2021  /  Cybersecurity , Financial Industry Regulatory Authority (FINRA) , Popular , Risk Management , Third-Party , Vendors
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