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

Leave a Reply

Your email address will not be published. Required fields are marked *

What are you looking for?