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Understanding OBAs: Compliance Insight on Outside Business Activities

Outside Business Activities are on the regulatory radar. 2021 saw FINRA issue several fines and sanctions to brokers for activities ranging from doing unreported notary work to setting up firms to fund small businesses. FINRA’s recently released 2022 Report on Examination & Risk Monitoring includes adjustments to rules for reporting and supervision of outside business activity.

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Look Back to Move Forward: Practical Guidance for Compliance in 2021

Taking a look back can help you move forward. Now’s the time to take a step back and consider how new or elevated risks during the year have been addressed, how controls have been established, and how compliance initiatives undertaken at year-end can set the stage for a stronger compliance program in 2021.

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Compiling an Efficient and Substantive Annual Compliance Report

With March deadlines looming, is your organization ready to provide a substantive annual compliance report? 

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The Elements of an Effective Corporate Compliance Program

 As part of their expanded guidance released on April 30, 2019, the U.S. Department of Justice served notice that corporations must be able to demonstrate the impact of their Ethics and Compliance programs—not just that they exist on paper. 

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DOJ's New Guidance Centers on Three Important Questions

Is your organization’s corporate compliance program an effective one? The U.S. Department of Justice (DOJ) has three important questions for you to help determine that as part of the regulator’s expanded guidance released on April 30. 

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