Blog Posts Tagged with "FINRA"

69dafe8b58066478aea48f3d0f384820

FINRA Fines Citigroup for Failing to Detect Fraud

August 11, 2011 Added by:Headlines

FINRA found that Citigroup failed to detect or investigate a series of "red flags" that upon further inquiry should have alerted the firm to the improper use of customer funds, including reports reflecting suspicious transfers of funds between unrelated accounts...

Comments  (1)

A7290c5bd7bc2aaa7ea2b6c957ef639b

Privacy Enforcement Storm: HHS, FTC and FINRA Act

March 03, 2011 Added by:David Navetta

If your organization does not have a privacy program in place, now is the time to act. Legal compliance function, vendor management and appropriate security provisions in vendor and customer agreements are just a few of the hallmarks of a program that could help avoid enforcement actions...

Comments  (0)