Category: Best of the Web

FINRA Keeping Promise to Examine Broker-Dealer Compliance Culture, Financial Tracking

In its 2016 Regulatory and Examination Priorities Letter dated January 5, 2016, FINRA stated that a main priority would be examining how and whether broker-dealers have established cultures of compliance. This was one of the anticipated actions we called out in our just-released Financial Tracking 2016 CCO Compliance Playbook…


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