The mortgage industry has undergone a major shift over the last decade. Regulations on document production and organization have never been so strict. The intense dissection of records management,....
Financial services teams are now under great scrutiny in offering mortgage and business loans to their clients. They must ensure that each piece of information within their systems is completely....
The US Securities Exchange Commission, pursuant to its regulatory authority of the under the US Securities Exchange Act of 1934 (outlining data retention and accessibility requirements), issued Rule....
Last April we talked about how to comply with Rule 17a-4(f) under the Securities Exchange Act (SEA). But because many firms still aren't correctly fulfilling the regulation's requirements, we figured....
In January, the Financial Industry Regulatory Authority (FINRA) released its 2017 Annual Regulatory and Examination Priorities Letter to inform firms about weaknesses in regulatory programs and ways....