Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms
FINRA Unscripted
English - March 08, 2022 12:45 - 21 minutes - 19.4 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
In February, FINRA issued its second Report on FINRA’s Examination and Risk Monitoring program, a comprehensive document that combines elements of what used to be the annual Priorities Letter and the Examination Findings Report. The report can serve as a reference document, addressing more than 20 topics of interest for firms and regulators from Regulation Best Interest and Form CRS to cybersecurity and mobile apps.
On this episode, J Koutros, vice president of risk monitoring standards, Joe Sheirer, vice president of the examination program, and Steve Polansky, senior director of special initiatives, join us to talk about the report, some key highlights and how firms can use this extensive document.
Resources mentioned in this episode:
2022 Report on FINRA’s Examination and Risk Monitoring Program
Episode 79: Year in Review: The 2020 Exam and Risk Monitoring Program
Episode 80: Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead