Risk and Compliance Mistake Costs Financial Firms $14 Million

January 12, 2017 by Kevin Bley

Tags: Financial Services, Compliance

The Financial Industry Regulatory Authority (FINRA) fined Wells Fargo, RBC Capital Markets, LPL Financial and others a total of $14.4 million for a records management problem. This risk and compliance issue may have allowed company and customer records to be altered.

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