Tag: broker-dealers

As the end of the year draws near, financial firms are under the gun to complete their annual FINRA and state/jurisdiction registration renewals. With deadlines fast approaching, it's critical to have a robust framework in place for timely, cost-effective, and efficient renewals, not just for this year but for the future as well.

The final deadline for compliance with the UK Financial Conduct Authority's (FCA) new Consumer Duty is swiftly approaching in July 2023. The regulatory agency has been actively providing guidance, conducting multi-firm reviews, and sharing specific industry insights in the form of Dear CEO Letters to ensure that firms are adequately prepared for the implementation.

Voice and video compliance platform Theta Lake has provided top tips on how to incorporate videos into your marketing strategy, keep the regulator happy and save money in the process.

Financial Industry Regulatory Authority (FINRA) has highlighted five key areas here industry participants have most prominently leveraged RegTech innovations.