enforcement consulting firm for the financial services industry.
Managing Director of Securities Litigation and Regulatory Enforcement.
“compensate any customers harmed by supervisory failures,” said FINRA.
should immediately begin to address the initiative, warned Russell.
those who think self-reporting might be in their best interest.
earlier, this can be a time-consuming process for the plan sponsors.
very little time to conduct the actual data analysis.
must review all transactions in some fashion.
each firms’ decision making on whether or not to self-report.
be used directly with regulators. For more information, visit https://bit.ly/2E28oZW.