In its 2019 Risk Monitoring and Examination Priorities Letter, FINRA outlined key areas of focus for 2019, including:
In a Report on Examination Findings, FINRA highlighted key areas in which broker-dealers failed to establish and maintain adequate supervisory controls and compliance programs.
The SEC Office of Compliance Inspections and Examinations highlighted exam priorities for 2019. The priorities focus on areas that represent increased risks to retail investors and the integrity of the U.S. capital markets.
In an annual Regulatory and Examination Priorities Letter, FINRA identified major areas of focus for 2018.
In a 2017 Regulatory and Examination Priorities Letter, FINRA identified compliance, supervision and risk management as primary areas for review.
FINRA amended its anti-money laundering policy to specifically require ongoing customer due diligence. The policy will be implemented on May 11, 2018.
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