How to Remain Compliant in 2020 and Beyond #Infographic

How to Remain Compliant in 2020 and Beyond #Infographic

Just though 2019 saw the lowest number of FINRA cases since 2011, companies do need to be sure they can comply with the legislation by making sure that their supervisory systems can detect any issues. FINRA 's guidelines are still in place throughout the pandemic, and the number of cases is likely to rise due to COVID-19 scams and other problems due to the use of less reliable means of communication. When the businesses allow the use of various communication platforms, they would need to learn how to store text messages, collect messages from WhatsApp and WeChat, and record voice calls.

Compliant with the legislation for this year and beyond, businesses would need to bear in mind the following.

FINRA fines have been consistently reduced for three consecutive years, resulting in companies not having to pay large sums when they break regulations. Organizations may have some spare funds left from their fine budgets for annual compliance, but smaller businesses also have their issues, because their image can also be harmed.

How to Remain Compliant in 2020 and Beyond #Infographic

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