Entries by Mitchell Atkins, CRCP

Mitch Atkins to Speak at 2019 FMA Securities Compliance Seminar

Mitch Atkins, FirstMark’s founder and principal will be speaking on the Key 2019 Legislative and Regulatory Initiatives panel at FMA’s 2019 Securities Securities Compliance Seminar. The panel will take place on Wednesday, May 1, 2019 at 11:30 a.m. in Fort Lauderdale. The panel will cover areas of enforcement focus in the financial industry. Additionally, the […]

AML Surveillance – Major FINRA AML Case

Yesterday FINRA settled yet another major case involving AML surveillance system deficiencies. This is one more in a series of cases in which FINRA has found that a broker-dealer’s electronic surveillance systems were insufficient to detect potentially suspicious transactions. In this case, FINRA fined the firm $13 million (which was duplicated by the SEC bringing […]

Mitch Atkins Presenting at FINRA South Region Conference

Mitch Atkins, founder and principal of FirstMark Regulatory Solutions, will present at the FINRA South Region Compliance Seminar in Fort Lauderdale, Florida on December 6, 2017.  Mitch Atkins will present as a panelist on FINRA’s panel entitled Writing and Maintaining Written Supervisory Procedures. The panel will discuss the FINRA’s Supervision Rule (Rule 3110), and in […]

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Email Flagging Keywords Out of Date?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 […]