Tag: risk assessment

FINRA Announces Revamped Examination and Risk Monitoring Program

FINRA has consolidated its three examination programs into a single program, a process that started in October 2018. As part of this consolidation, on December 12, 2019 FINRA announced the senior leadership team under the new examination and risk monitoring structure within the organization. The goal of the reorganization is to drive more effective risk … Continued


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