Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

Tag Archives: Regulatory and Examination Priorities Letter

FINRA Releases 2018 Regulatory and Examination Priority Letter

Posted in Broker-Dealer
On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing various issues that will be the subject of particular regulatory focus and scrutiny this year. Many of the areas noted are carry-overs from previous years, including the protection of senior investors and other retail customers, new product… Continue Reading

FINRA Requests Information Regarding Firm Culture and Values

Posted in Broker-Dealer
The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how those values impact business decisions. FINRA’s 2016 Regulatory and Examination Priorities Letter defined “firm culture” as “the set of explicit and implicit norms, practices and expected behaviors that influence how employees make and carry out decisions in the… Continue Reading