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Friday, February 5, 2021 The recently issued 2021 Report on FINRA’s Examination and Risk Monitoring Program (the “Report”) replaces, and combines, two previously published FINRA reports – The Report on Examination Findings and Observations as well as the Risk Monitoring and Examination Program Priorities Letter. The Report addresses key regulatory topics in four categories: (1) Firm Operations; (2) Communications and Sales Practices; (3) Market Integrity; and (4) Financial Management. In particular, FINRA identified the following issues that impact many member firms. Regulation Best Interest (Reg BI) and Form CRS FINRA noted that in 2021 it intends to expand the scope of its review and testing in this area to engage in a more comprehensive review of firm processes, practices and conduct. FINRA provided a list of considerations its staff will use when examining a firm for compliance with Reg BI and Form CRS, and firms should make sure they have addressed those c

Examination program priorities letterFirm operationsRisk monitoring program theRisk monitoring programExamination findingsRisk monitoringExamination program prioritiesSales practicesMarket integrityBest interestதேர்வு ப்ரோக்ர்யாம் ப்ரையாரிடீஸ் கடிதம்நிறுவனம் செயல்பாடுகள்ஆபத்து கண்காணிப்பு ப்ரோக்ர்யாம் திஆபத்து கண்காணிப்பு ப்ரோக்ர்யாம்தேர்வு கண்டுபிடிப்புகள்ஆபத்து கண்காணிப்பு