From time to time, it’s a good idea to look at technologies that may not be available to enterprise IT today, but could be soon. One such technology is currently focused at resellers, service ...

Financial Industry Regulatory Authority President and CEO Robert Cook said he wants examinations of firms’ branch offices to stay remote into next year, speaking at the Securities Industry and ...

On Monday, Finra filed a proposal with the Securities and Exchange Commission to extend the remote-inspection rule again until the end of the year. “The proposed additional six-month extension … is ...

Brokers are getting at least another month to comment on a proposal that would let them conduct their internal inspections of home and branch offices remotely. Processing Content The Financial ...

During the COVID-19 pandemic, broker-dealers successfully demonstrated their ability to maintain regulatory compliance remotely in many ways. Data from a new survey – conducted by SIFMA and Protiviti ...

Remote and branch offices are frequently under-secured, making them a vulnerable point in enterprise cyber defense strategies. These environments often lack the robust IT controls and monitoring of ...