Posts tagged 2015 Exam Priorities Letter.
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FINRA's 2015 Exam Priorities

The Financial Industry Regulatory Authority ("FINRA") released its 10th annual Exam Priority Letter earlier this week (Jan. 6, 2015). The so-called "Errico Letter" advises broker-dealer member firms of the operational risks the regulator expects to focus on in its examination (and enforcement) program. Moving a little closer to a principles-based regulatory approach than the usual "hot issue" laundry list from past years, this year's Letter first addresses five key areas of concern: 1. Alignment of Customer/Firm Interest 2. Standards of Ethical Behavior 3. Strong ...

Posted in: FINRA
Tags: 2015 Exam Priorities Letter, Algo's & Cross-Market Activity, AML, Anti-Money Laundering, Cyber Security, Financial Industry Regulatory Authority, finra, Outsourcing, Trading Technology
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