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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FINRA Enforcement Actions involving Robinhood