FINRA Enforcement Actions involving Robinhood

Compliance into the Weeds

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

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