Archive for September 2017

Let’s Talk Supervision: Freedom with Responsibility

Are you at Risk? Efficient and Effective Supervision In 2016 FINRA brought 1434 disciplinary actions against registered individuals and firms, and levied $176.3M in fines. With the ongoing onslaught on new social media channels, voice, mobile, and messaging apps entering the workforce, are you able to capture and review all communications used by your firm…Read More