Tag: risk monitoring

Takeaways from FINRA’s Examination Priorities 2020

The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on January 9, 2020. Why is this annual release so important to broker-dealers? In short, it serves as a roadmap to identify compliance and supervisory topics that will underpin FINRA’s examination program as 2020 unfolds. After … Continued

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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