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FINRA 2016 Risk Control Assessment Due

June 29, 2016

FINRA’s 2016 Risk Control Assessment (RCA) survey launched earlier this month, when each firm’s executive representative was sent an email linking to their firm’s unique RCA survey. The RCA is an integral part of FINRA’s risk-based examination and surveillance 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 identify and assess the integrity of the controls intended to manage those attendant risk exposures.

FINRA requests that all firms complete and submit the survey by Wednesday, June 29.


June 29, 2016
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