Introduction If you work in finance or invest in the market, you’re likely familiar with the Financial Industry Regulatory Authority, better known as FINRA. As the nonprofit regulatory body [...]
Introduction If you work in the financial industry, you’re likely well aware of FINRA’s critical role in protecting investors, maintaining market integrity, and promoting fair and transparent [...]
Introduction There have been many financial compliance failures, but few scandals are as notable as the Subprime Mortgage Crisis (SMC) that happened between 2007 and 2010. During this turbulent [...]
The SEC is ramping up cybersecurity compliance efforts, recently issuing First American Financial Corporation over $487,000 in fines for poor vulnerability management that put their investors’ [...]
Charles IT · Are Cloud Solutions Right for the Finance Industry? Cloud solutions are becoming increasingly popular in the business world, as they offer a number of benefits that are difficult to [...]
Cybersecurity is of the utmost importance for the finance sector. According to VMware’s “Modern Bank Heists Report”, in the first half of 2022, 63% of surveyed financial firms reported experiencing [...]
Charles IT · Can You Name the Cybersecurity Regulations That Apply to the Financial Industry? Financial services is one of the most heavily regulated sectors in the world as it plays a vital role in [...]
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