Entries by Mitchell Atkins, CRCP

Electronic Communication “Let’s Talk Supervision”

Compliance risks exist in your electronic communication. How will you effectively manage these risks? With the volume and velocity of information flowing through electronic communications channels, supervision has become a real challenge. Mitch Atkins presented at the Actiance Executive Briefing Series in New York on April 7, 2016 on how organizations can leverage their electronic […]

Email Flagging Keywords Out of Date?

Do you Update your Email Flagging Keywords? It is important to remember to periodically update your email flagging keywords if you use a monitoring system for electronic communications. Those systems, while powerful, are only as good as the dictionary of email flagging keywords used to call out a communication for review. Broker-dealers are required to […]

FINRA Membership Application Rules Retrospective – FirstMark’s Summary

  Check out the article written by FirstMark’s founder, Mitch Atkins, on LinkedIn summarizing the comments received in response to the FINRA Membership Application Rules Retrospective. This retrospective is a look back at the FINRA Membership Application Rules and further a request to the public for comment on what might be changed about the rules and […]

Mitch Atkins to Discuss CCO Liability at ACFCS Financial Crime Conference in New York City

Mitch Atkins, founder of FirstMark Regulatory Solutions, is presenting at the Association for Certified Financial Crime Specialists (AFCFS) 2015 Financial Crime Conference on Tuesday, April 21, 2015.  Atkins will participate as a panelist on the Financial Crime Landscape for the Securities Industry panel and will discuss recent trends in chief compliance officer (CCO) and anti-money […]

FirstMark Regulatory Solutions Celebrates 1 Year Anniversary

January 2015 marks the one year anniversary of FirstMark Regulatory Solutions’ entry into regulatory compliance consulting.  FirstMark offers specialized compliance consulting services to FINRA and SEC registered broker-dealers.  Services offered to clients include:  FINRA New Member Applications (NMA), FINRA Continuation of Membership Applications (CMA), anti-money laundering (AML) independent testing, supervisory controls testing, litigation support services, […]