‘Twas the night after Christmas

2016 was a very good year for SEC whistleblowers – $130 million and still counting!
December 14, 2016
The SEC closed out 2016 with a bang
January 4, 2017
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‘Twas the night after Christmas

‘Twas the night after Christmas. The office was cold.And the CCO sat thinking, alone at his desk:

“Is my headache from Christmas, or Perpetual compliance is just getting old?”

Every year reports pile high on the desk and the floor,There must be an easier way to manage this end-of-month chore.His family was at home asleep in their beds,While the ghost of FINRA (SEC/CFTC, etc.) past danced ’round in his head.Last week he’d read of yet another multi-million dollar fine, That’ a big incentive to get the work finished in time.


Then there in his Inbox appeared an email so sweet,A software solution — affordable, complete.The message was clear and simple to read:

With one easy-to-use, 8-module, cloud-based appliance From his desktop, he could manage all aspects of non-trading compliance!
Onboarding included — tasks were easy and quick,Wow! For just a few moments he believed it a trick!
So he tested away — the 8 modules extensive,His boss would be happy — the cost inexpensive





“From Dashboard! To Messaging!From Procedures to Gifts! On Marketing – Branch Audits The dark regulatory cloud lifts. So for all SEC regulations!And FINRA’s sharp rule! Now dash away! Dash away!Dash away all!”






Then leaving  his office  thinking life was so  sweet,With an eye to the future and the donald’s next tweet, He walked quicly homeward. i heard him  exclaim,”A prosperous 2017 to all, and  to all a( compliant) good night”