The 2018 Regulatory and Examination Priorities Letter is an affirmation that the coming year will bring both continuity and change in FINRA’s regulatory programs. The continuity comes, first in the … Continue reading FINRA 2018 Regulatory and Examination Priorities Letter
The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) has released the SEC Exam Priorities for 2017 (the “SEC Exam Priorities”). In general, the … Continue reading SEC Exam Priorities for 2017 Released
On January 4, 2017, the Financial Regulatory Authority (FINRA) started the new year with a bang as it published the Regulatory and Examination Priorities Letter (Exam Priorities Letter) for 2017. … Continue reading FINRA Releases its 2017 Exam Priorities Letter
In the on-going evolution of the fight against cyber-security threats, broker-dealers and investment advisers need to have robust cyber-security policies and procedures. One of the initial steps is to think … Continue reading Cyber-Security Procedures and Data Classification
The Securities and Exchange Commission released its Office of Compliance Inspections and Examinations’ (OCIE) 2016 exam priorities. New areas of focus include liquidity controls, public pension advisers, product promotion, and two popular investment … Continue reading SEC Releases the 2016 Examination Priorities