- This event has passed.
2017 FINRA Risk Control Assessment ( RCA)
June 2, 2017
FINRA’s 2017 Risk Control Assessment (RCA) survey has been launched. Each firm’s executive representative and designated assistant should have received an email linking to their firm’s unique RCA survey. The RCA is an important part of FINRA’s risk-based surveillance and examination program. FINRA uses it to better understand the risks associated with the business activities in which individual member firms engage, the products and services they sell, and the kinds of clients and counterparties with which they deal. In addition, the RCA helps us identify and assess the integrity of the controls intended to manage those attendant risk exposures.
Firms are asked to complete the survey by Friday, June 2, 2017.