Continuing Membership Application (CMA) – newly improved!
Learn how FINRA's MAP transformation and specialized guidance can help you navigate the CMA process with more efficiency and...
FINRA sweeps contain more than you think
FINRA sweeps provide unique value. In this blog, I explain why and provide examples for their use in a well-rounded compliance...
FINRA’s updated cycle exam program: What you need to know
Regulatory exams can be stressful and complex. Here's a simple breakdown of FINRA's updated cycle exam program to help firms...
Effective compliance risk management: part II
A healthy compliance program that includes a risk management program can provide a foundation for monitoring progress toward risk...
Effective compliance risk management: an essential function for the success of a compliance department: part I
For effective compliance risk management, identify, assess, and quantify risks, then implement a strategy designed to manage the...