An Electronic Communication Network (ECN) is a type of computerized system that facilitates trading financial products, such as currencies or stocks, by connecting buyers and sellers directly without ...

In light of the release of FINRA's "2019 Report on Examination Findings and Observations," it's worth discussing the rapidly growing compliance challenges and risks for financial institutions (FIs) in ...

SEC examiners are concerned that the way mobile and personally owned communications devices are used by advisers pose challenges in their meeting obligations under the Books and Records Rule and the ...

As the real-life impact of the CrowdStrike and Microsoft outage continues to unfold, one thing is clear: building crisis communication strategies is an essential part of leadership. It’s a step that ...

The rise of electronic communication has led to a change in how workplace interactions happen. Meeting up to talk to someone was once necessary, but it was also time-consuming. Today, an email might ...