Industry Report: FINRA 2018 Regulatory and Examination Priorities Letter

Written By Brandon Klerk

The 2018 Regulatory and Examination Priorities Letter identifies topics that FINRA will focus on in the coming year, and these include some new topics as well as others that remain ongoing areas of focus.  The areas of focus include:

  • Fraud

  • High-Risk Firms and Brokers

  • Business Continuity Planning

  • Technology Governance

  • Cybersecurity

  • Anti-Money Laundering

  • Liquidity Risk

  • Sales Practice

And more… https://www.finra.org/industry/2018-regulatory-and-examination-priorities-letter

Brandon Klerk https://www.halyardcompliance.com
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