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This February, the Financial Industry Regulatory Authority, Inc.
( FINRA ) released its Report on FINRA s Examination
and Risk Monitoring program (the Report ).
1
The Report replaces FINRA s former Report on FINRA Examination
Findings and Observations, and its Risk Monitoring and Examination
Priorities Letter. The Report, in its new format, will be released
annually.
The Report covers a broad spectrum of issues. This article
focuses on areas of interest to the structured products
industry.
REGULATION BEST INTEREST
This part of the Report generally asks firms whether they have
In a troubling development, the US Department of Labor (DOL) has announced its expectation that it will proceed to propose yet another iteration of investment advice guidance under the.
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CHICAGO, April 28, 2021 /PRNewswire/ Morningstar, Inc. (Nasdaq: MORN), a leading provider of independent investment research, today reported first-quarter 2021 financial results. Broad-based growth reflects strength across our business, said Kunal Kapoor, Morningstar s chief executive officer. Our license-based offerings keep resonating with both public and private market investors, DBRS Morningstar remains focused on cementing its position as the leading alternative to legacy rating agencies, and our ongoing expansion of environmental, social, and governance (ESG) solutions fulfills rising interest in sustainable investing. Recent ESG-related efforts include delivering the data and research that asset managers need to comply with the EU Sustainable Finance Disclosure Regulation. Moreover, we enhanced the transparency of our own corporate sustainability initiatives by releasing our inaugural Enterprise Sustainability Report, which descr
Morningstar, Inc Reports First-Quarter 2021 Financial Results prnewswire.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from prnewswire.com Daily Mail and Mail on Sunday newspapers.