This is a recent conversation we had over what broker-dealers can use to help them comply with their annual supervisory compliance requirements. As you know, FINRA 3130 is the annual certification from the CEO certifying that your firm complies with all the rules and regulations.  And, FINRA 3120 requires testing of controls that are put...
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Allia Consulting Financial Services Risk Compliance
Recently, we took a look at FINRA’s May 2020 disciplinary actions and found that there were 3 cases relating to violations of FINRA 5210. Of the 3 firms, fines were from $30,000 to $150,000. The rule provides: “No member shall publish or circulate, or cause to be published or circulated, any notice, circular, advertisement, newspaper article,...
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project management graphic
Many business owners talk about budgeting at a high-level because it often requires involving too many people and frankly, sometimes it’s easier to stick with delivering great results instead of having to plow through the numbers. However, as a business owner or project manager, you know that knowing your run rate on a weekly or...
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Glowing light bulb and business ideas sketch
First days on vacation is a great time to document/record lessons learned from work. This time was no exception. Have you ever had to confirm that a population of data is complete? Here is a quick tip on one way to check for completeness of your population. Would love to hear others. How to verify...
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