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Client Communications
Regulatory enforcement actions and the increasing use of newer communications platforms are impacting recordkeeping and surveillance trends
Online broker-dealer failed to preserve at least 22.6 million business-related e-comms
The fraudster persuaded Joe that the wired funds were necessary to 'secure' his account and that this was a standard part of the fraud prevention ...
Under settlement, firm will need to retain an independent consultant to review Bank Secrecy Act compliance
FINRA Board of Governors approves rule proposals concerning public communications and carrying agreements
Broker-dealer self-reported its failure to submit to FINRA accurate statistical and summary information regarding written customer complaints
Denial of petition leads FINRA to consult with the SEC to modify the collateral consequences that came with pre-2025 OCC settlements
The firm's use of the letter was also improper because it required its clients, all of whom are retail clients, to agree to a waiver ...
The latest SEC off-channel communications cases involving an IA and a B-D have set a new fine floor: no civil penalty
Peirce and Uyeda question whether firms "have an achievable path to compliance" when it comes to off-channel communications