If you are using algorithms in your fintech offering, keep in mind that major regulatory bodies are paying more and more attention. Knowing what the SEC, FINRA, the CFPB, and the FTC are looking for can help mitigate the risks. Start by factoring this into your compliance strategy, and then build the mechanisms you need to monitor and audit what your algorithms do.
Most businesses still have some form of remote work arrangements even as coronavirus restrictions ease. InnReg built remote work into its operating model from the very beginning. Here are seven lessons you can use to conduct remote operations as smoothly as possible. Contact us for a FREE review of your current situation.
Did you know that you can be held personally liable for your firm’s regulatory violations? If a Chief Compliance Officer (CCO) knowingly violates the Investment Advisers Act or engages in wrongdoing, the liability seems clear. But when CCOs lack essential skills and information for the CCO role, even their good faith efforts can become suspect.
As a regulatory attorney or legal adviser, you want to make sure your clients succeed and avoid risk. As part of meeting your responsibilities It’s helpful to understand what makes or breaks your clients’ compliance programs. In addition, the more you know about what compliance consultants and service providers can do, the better you can serve your clients with meaningful counsel over the long haul.
Regulatory bodies have taken a long time to catch up with today’s world of digital, social media, and influencer marketing. The rules have begun evolving. Here’s what financial innovators need to know about the latest FTC and SEC rules, as well as key insights on the impact of compliance programs on digital marketing.
