U.S. FINRA Exam Findings, Priority

On Jan. 8, 2018, FINRA issued regulatory and examination priorities letter for 2018.

  • Resource for firms to enhance compliance, supervisory, risk management programs.
  • Focus for 2018 on fraud, high-risk firms and brokers, operational and financial risks.
  • Financial risk included technology governance and cybersecurity, market regulation.
  • Sales practice if, recommend complex products to unsophisticated/at-risk investors.
  • Protection of customer assets, and the accuracy of firms' financial data maintained.
  • Market integrity including best execution, manipulation, fixed income data integrity.