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Tag: FINRA

compliance and risk management priorities

FINRA 2017 Priorities Letter

by Michael Manley

February 14, 2017

FINRA announced its priorities for the year, which will drive examination and regulatory programs and significantly impact market participants focused ...

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In Electronic Supervision, Perfection isn’t Mandatory

by Mike Pagani

April 19, 2017

Regulators don’t expect perfection in your compliance systems, but they will require a clear set of policies governing all communications ...

Staying Audit-Ready as Regulators Make Compliance a Top Priority

by Guy Talarico

February 10, 2017

How to Demonstrate a Commitment to Compliance Regulatory authorities for the financial industry will be focused on companies' risk management ...

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Tag: FINRA

FINRA 2017 Priorities Letter

In Electronic Supervision, Perfection isn’t Mandatory

Staying Audit-Ready as Regulators Make Compliance a Top Priority

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