It was a pleasure to attend and exhibit at the 2016 FINRA Annual Conference in Washington D.C. this year. Chairman Richard G. Ketchum delivered an excellent address at the opening of this conference. He reiterated that high ethical standards are critical to maintaining investors’ trust in the financial markets and in the professionals and firms with which they work.
He pointed out that FINRA’s reviews and focuses cover a number of factors, including how a firm communicates and reinforces values directly, implicitly and through its reward system. FINRA also is interested in how a firm measures compliance with its cultural values; what metrics, if any, it uses; and how it monitors for implementation and consistent application of those values throughout its organization.
Chairman Richard G. Ketchum went on to say that “FINRA will assess whether control functions are valued within the organization; whether the organization proactively seeks to identify risk and compliance events.”
Our Eagle Eye and SQWatcher applications will help your organization supervise and monitor your website(s) and your employees’ presence on the web. Our automated record keeping features will save you time and help ensure that you are consistently meeting the general supervision requirements. Demonstrate that your company values compliance. Our applications help you consistently stay compliant with NASD Rule 3012 and FINRA Rules 2201, 3110 and 3270.
SiteQuest Technologies is the leading-edge compliance software provider specializing in solutions that help firms supervise the web as well as archiving and monitoring websites and blogs. We will help your organization become proactive in seeking to identify risks and compliance events on the websites that you are required to supervise.
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Read the full text of Chairman Richard G. Ketchum’s address.
About James Cella
James Cella is the President of a growing and innovative compliance technology provider called SiteQuest Compliance. James is a customer-centric individual and focuses on building and sustaining positive and lasting relationship with his clients and partners. James and his family are "super fans" of Utah Football and have attended nearly every home game since 2002. Go Utes!