Articles Posted in Compliance

Cloud computing is the delivery of computing services (i.e., storage and network infrastructure and software-as-a-service (“SaaS”)) on the internet rather than your computer’s hard drive. Currently, cloud computing is considered a valuable asset to firms, industry wide. It is important to have Malecki Law’s FINRA Regulatory Lawyers in New York…

Brokerage firms owe its clients the duty to supervise its employees and personnel. This is a very important duty in the financial industry, as it ensures the associated persons under the brokerage firm’s umbrella are compliant with FINRA’s rules. Firms should maintain its duty to supervise, and ensure that it…