2016 FINRA & SEC Examination Priorities

Written By Brandon Klerk

Focusing on everything from “firm’s culture” to “cyber-security”.  Contact Halyard for insights on how to better evidence your firm’s “culture” during a regulatory examination.  Read these regulatory releases here:

https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2016.pdf

https://www.finra.org/industry/2016-regulatory-and-examination-priorities-letter

Brandon Klerk https://www.halyardcompliance.com
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