January 05, 2016 BY LeapRate Staff
FINRA aims to focus on broker 'culture' in 2016
The U.S. Financial Industry Regulatory Authority (FINRA) today released its Regulatory and Examination Priorities for 2016, highlighting three broad issues - supervision, risk management and controls; and liquidity. The letter also emphasizes firm culture, conflicts of interest and ethics, and the significant role each of these plays in the way a firm conducts its business. FINRA…
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