801-896-0951​
Call Now 801-896-0951
SITEQUEST TECHNOLOGIES
  • Home
  • Eagle Eye
    • OVERVIEW
    • Features
    • Risk Based Reviews
    • Eagle Eye FAQs
    • EAGLE EYE LOGIN
  • SQWatcher
    • OVERVIEW
    • Features
    • SQWATCHER LOGIN
  • Web Dynamcis
    • OVERVIEW
    • Features
    • Spotlight Websites
    • WEB DYNAMICS LOGIN
  • Blog
  • Contact Us
  • About Us
  • Home
  • Eagle Eye
    • OVERVIEW
    • Features
    • Risk Based Reviews
    • Eagle Eye FAQs
    • EAGLE EYE LOGIN
  • SQWatcher
    • OVERVIEW
    • Features
    • SQWATCHER LOGIN
  • Web Dynamcis
    • OVERVIEW
    • Features
    • Spotlight Websites
    • WEB DYNAMICS LOGIN
  • Blog
  • Contact Us
  • About Us

BLOG

Learn more about what we do and stay up-to-date with industry regulations and trends

6/1/2016

2016 FINRA ANNUAL CONFERENCE RE-CAP

 
Picture
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 recordkeeping 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.

Contact us today and we will demonstrate for you the solutions our company has to offer.

Read the full text of Chairman Richard G. Ketchum’s address.

Comments are closed.

    About James Cella

    James Cella is the President of a growing and innovative compliance technology provider called SiteQuest Technologies. 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!

    Archives

    July 2019
    March 2019
    February 2019
    January 2019
    December 2018
    November 2018
    October 2018
    July 2018
    April 2018
    March 2018
    January 2018
    November 2017
    October 2017
    September 2017
    August 2017
    July 2017
    April 2017
    March 2017
    January 2017
    December 2016
    October 2016
    September 2016
    July 2016
    June 2016
    April 2016
    March 2016
    February 2016
    January 2016
    July 2015
    May 2015
    April 2015
    March 2015
    February 2015
    July 2014
    June 2014
    March 2014

    Categories

    All
    Eagle Eye
    FINRA
    SEC
    SQWatcher

    RSS Feed

Products

Eagle Eye
SQWatcher
Web Dynamics

Company

​About Us
​Contact
​Support
Privacy

Popular Posts

Known Compliance Gaps
Are You Finding Everything That You Need To Monitor?
High-Risk Brokers: What Are You Doing About Them?
​
© COPYRIGHT 2015. ALL RIGHTS RESERVED.