Tag Archives: exam priorities

FINRA 2019 Exam Risk Priorities

On Jan. 22, FINRA issued 2019 risk monitoring, exam priorities. Highlights priorities, identifies areas of ongoing concern, to help firms to assess areas relevant to business, prepare for examinations, have adequate monitoring. Addresses older risks from sales practice; hiring, supervision of APs with history. Including cybersecurity; fraud, insider trading, and manipulation across markets. FINRA also…
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