MyComplianceOffice Blog

Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps every year, and the deadlines are coming up fast. Now’s the time to make sure that you have the right framework in place to manage your renewals on time, cost effectively, and efficiently—this year and moving forward.

Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former Associate Director of a multinational investment bank and financial services company from re-entering the city’s financial industry.

APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central theme of “superannuation funds as investors of members’ money”.

A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has been sentenced to 12 years imprisonment with parole eligibility after six years, including the 977 days of pre-sentence custody declared as time already served.

Staying on top of the latest regulatory developments in the financial services industry to maintain compliance and stay ahead of potential risk poses significant challenges for firms of all sizes. However, it can be particularly complex for smaller firms, where factors like limited resources and reliance on manual processes can make an already complicated endeavor even more difficult to manage.