Another Introducing Broker Hit With Failure to Supervise; Record Keeping Shortcomings Oct 31, 2023 Turnkey cannot express enough how critical it is for firms to take communication record keeping and supervision seriously. … Read More
Critical CFTC Supervision and Record Keeping Tips Oct 30, 2023 Over the past year major financial institutions have paid over $1 Billion in fines for record keeping violations. Many of the fines were due to the inability to monitor digital communications. One of these firms, HSBC, recently took a bold step to cover off the regulatory risks of having staff using text messages. Discover how they’re cracking down, and decide if your firm should be too. Please read more here.
Cyber Alert: “Pig Butchering” Education Sep 27, 2023 By: Matthew Anderson In 2022, Americans lost an estimated $5.9 Billion to crypto currency scams alone. It… Read More