FirstMark Regulatory Solutions

https://www.linkedin.com/pulse/finra-slams-another-bd-record-fine-aml-failures-whats-mitchell-atkins

FINRA Slams Another BD with Record AML Fine. What's the Message? Today, FINRA announced that it fined another large broker-dealer for, "Significant Deficiencies in its Anti-Money Laundering Program." While this action resulted in a fine of $16.5 million, which is

Check out this article on email and social media compliance!

http://firstmarksolutions.com/atkins-forbes-email-and-social-media-compliance/

Atkins in Forbes: Email and Social Media Compliance - FirstMark Regulatory Solutions FINRA email and social media compliance requirements decrypted in a discussion with former FINRA regulator, Mitch Atkins of FirstMark Regulatory Solutions.

The final installment of this three part series about OFDMI.

Catching the Bad Guys: FINRA’s Detective Work Go behind the scenes of the Office of Fraud Detection and Market Intelligence to explore the inner workings of FINRA's detective work.

electronic communications supervision - an important issue!

Time to Refresh Email Flagging Rules? In reading this Bloomberg Business article (“Don’t Use These Lame Acronyms if You Don’t Want to Get Nabbed by the Feds”) this morning, it became obvious that if compliance staff haven’t recently updated their keyword flagging database, now is the time to do so. As the way we communicate rapidly deve…