An Electronic Communication Network (ECN) is a type of computerized system that facilitates trading financial products, such as currencies or stocks, by connecting buyers and sellers directly without ...

In light of the release of FINRA's "2019 Report on Examination Findings and Observations," it's worth discussing the rapidly growing compliance challenges and risks for financial institutions (FIs) in ...

On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the Division’s priorities highlight ...

The rise of electronic communication has led to a change in how workplace interactions happen. Meeting up to talk to someone was once necessary, but it was also time-consuming. Today, an email might ...

From a project manager’s perspective, a strong plan is vital to maintain communication with stakeholders across all levels of an organization. While communication may seem to be a fairly light lift in ...