06-07-18
FINRA Shares Exam Findings, Deficiencies That May Trigger Further Scrutiny
Continuing our coverage of FINRA’s 2018 Annual Conference, regulators and firm compliance professionals participated in discussions in a session titled “Common Examination Findings and Effective Compliance Practices.” The regulators offered a look into problem areas firms continue to face and common examination deficiencies.
The discussion offered insight into FINRA’s evolving approach to regulatory and compliance management. Bates Research has the details.