What You Need to Know About FINRA and SEC Compliance In the financial industry, adherence to regulatory standards set by FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission) is essential. These regulatory bodies enforce rules designed to maintain market integrity, protect investors and ensure transparency. However, navigating these regulations can be … Read more
In today’s economy, people are becoming more reliant on mobile banking and online transactions for buying goods and services. In 2021, the Federal Deposit Insurance Corporation (FDIC) concluded that 96% of American households had bank accounts, equating to at least one household member having either a checking or saving account. Safeguarding a user’s assets is … Read more
From banks to credit unions, IT solutions need to be available 100% of the time, both to keep customers happy and to protect their data. With increased consumer demand for 24/7 real-time access to data and accounts, financial institutions must balance meeting customers’ wishes and the need to protect data and privacy. Banks and other … Read more
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