2020 Exam Priorities Letters - Part 1

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - February 05, 2020 19:00 - 15 minutes - 10.9 MB - ★★★★★ - 7 ratings
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Previous Episode: Reg BI - What's Required in Form CRS

Next Episode: 2020 Exam Priorities Letters - Takeaways, Part 2

In case you're wondering what the regulators will be focusing on this year, they are kind enough to let you know when they publish their annual Exam Priorities Letters. This episode is Part 1 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters. Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Senior Consultant Joe Turner talk about what's new, particularly around Reg BI and Form CRS requirements.

Future exam priorities podcast topics will include:

Market IntegrityBest ExecutionTechnology and CybersecurityBusiness Continuity PlansCash Management / Bank Sweeps

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