The Financial Industry Regulatory Authority (FINRA) has hit Raymond James Financial Services, Inc. with a $2 million fine, alleging that the firm failed to properly supervise and review email messages. In response to the charges, Raymond James officials say that they will conduct “a risk-based retrospective review to detect potential violations evidenced in past emails,”… Read More >>
Challenges Ahead for Social Media Compliance
Is social media compliance becoming predictable and thus easier to manage, which would make compliance staff happy? Or are there more adventures to come? This key issue emerged during a panel discussion on what is next for social media compliance. The panel was part of FTF’s Social Media and Compliance (SMAC) conference last week. The… Read More >>
