5 Key Takeaways from the 2016 FINRA Annual Conference

The 2016 FINRA Annual Conference stood out in many ways, including the roster of speakers and the attendees. Even the quality of the program was very high. As usual, FINRA conferences are about discussing and debating top regulatory concerns, as well as current issues affecting the industry. The 2016 conference wasn’t any different. With the[…]


All You Need to Know About RegTech

Coming in quickly on the heels of FinTech’s pending disruption of the financial services industry, RegTech acts as the answer to a simple problem that’s arisen as the industry has become increasingly data driven, automated, regulated, and volatile. With new regulations springing up and tripping banks with alarming regularity, it behooves all financial services organizations to apply appropriate[…]

Finra Culture of Compliance Questions

Finra asks 8 questions to assess your firm’s culture of compliance

This week, Finra issued a targeted examination letter to 12 firms designed to help the regulator better assess and understand how firms have established a “culture of compliance.” As you may be aware, the term “culture of compliance” has garnered much attention (read this) thus far this year, as Finra doubles-down on the notion that a firm[…]

Culture of Compliance

Culture of compliance term is on the rise

Culture of compliance term is on the rise Recently, the Wall Street Journal published an analysis (paywall) on the use of the term “culture of compliance” across published articles, using Factiva as a datasource. As many in the Financial Services industry know, compliance as been top-of-mind for many years, but it really took the spotlight[…]