News & Analysis as of

Internal Controls › Risk Management › Financial Industry Regulatory Authority (FINRA)

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: COSO Objective 5 – Monitoring Activities

Thomas Fox - Compliance Evangelist on

Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance...more

BCLP

Supervision of Vendors When Outsourcing - The Buck Stops with FINRA Member Firms

BCLP on

Key Takeaways: ..On August 13, 2021, FINRA issued Regulatory Notice 21-29 (“RN 21-29”) to remind member firms that they must establish and maintain an adequate supervisory system, including written supervisory procedures...more

Katten Muchin Rosenman LLP

FINRA’s 2016 Regulatory and Examination Priorities

Katten Muchin Rosenman LLP on

On January 5, the Financial Industry Regulatory Authority released its Regulatory Examination Priorities Letter, which identified its three main areas of focus for the year: (1) Culture, Conflicts of Interest and Ethics; (2)...more

Morrison & Foerster LLP

FINRA’s 2016 Priorities Letter: Objective and Subjective Issues

Morrison & Foerster LLP on

2016 has arrived and, with the new year, FINRA has published its agenda of key examination priorities. This year’s 13-page Regulatory and Examination Priorities Letter sets forth both long-standing and new items for firms to...more

4 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide