2021 Report On FINRA's Examination And Risk Monitoring Program - Technology
To print this article, all you need is to be registered or login on Mondaq.com. 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....
Source: mondaq.com