Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the financial services industry. Several firms were fined hefty sums of money. Looking at their situations can provide important insights and recommendations that will help solve compliance challenges and reduce risk at your firm.

Download this report now to get a rundown of 10 notable violations from the past year and learn what you can do to avoid the same. This includes what happens when you fail to:

• Stay informed about regulatory updates
• Properly supervise email and all other forms of communication
• Create a supervisory system for ongoing reviews 
• Safeguard against mistakes when using text messaging

Studying how authorities came down on other organizations for violations over the past year can help you make better choices for the future of your firm. Don’t become another headline – bolster your processes for compliance now.