FINRA Enforcement Actions involving Robinhood

FINRA Enforcement Actions involving Robinhood

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week Matt and Tom take a deep dive into the two recent FINRA enforcement actions involving the trading platform Robinhood. Some of the issues we consider are: What were the underlying facts? Were red flags missed, consciously avoided or outright ignored? Where was compliance? Why must the human element always be present in compliance? Why business continuity is really a compliance issues. What about the IPO? Resources Matt in Radical Compliance Lessons from Robinhood Learn more about your ad choices. Visit megaphone.fm/adchoices

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Episoder(434)

Survey Finds Widespread Retaliation Against Compliance Officers

Survey Finds Widespread Retaliation Against Compliance Officers

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore a subject more fully. Looking f...

1 Jul 26min

Bosch and the Foreign Direct Product Rule: Lessons from the Export Controls and NSD Settlement

Bosch and the Foreign Direct Product Rule: Lessons from the Export Controls and NSD Settlement

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it in greater depth. Looking fo...

24 Jun 27min

OFAC’s Warning Shot: FTI Consulting Fined for Indirect Dealings with Sanctioned Bank

OFAC’s Warning Shot: FTI Consulting Fined for Indirect Dealings with Sanctioned Bank

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17 Jun 20min

Why the Compliance Job Market Feels Frozen

Why the Compliance Job Market Feels Frozen

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it in greater depth. Looking fo...

3 Jun 23min

An SEC Rollback and a Tribute to Barney Frank

An SEC Rollback and a Tribute to Barney Frank

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27 Mai 23min

The DOJ Trainwreck and the Rising Risk Calculus for Compliance and Self-Disclosure

The DOJ Trainwreck and the Rising Risk Calculus for Compliance and Self-Disclosure

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore it more fully. Looking for some...

13 Mai 26min

Ohio State and Improper Requests by a President

Ohio State and Improper Requests by a President

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore the subject more fully. Looking...

6 Mai 23min

Navigating DOJ's Evolving Self-Disclosure Strategies

Navigating DOJ's Evolving Self-Disclosure Strategies

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to explore the subject more fully. Looking...

29 Apr 23min

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