FINRA Announces 2019 Exam Priorities
On January 22, 2019, FINRA announced its 2019 examination priorities. The areas noted as priorities included risks related to: associated persons with a problematic regulatory history, cybersecurity, online distribution platforms, regulatory technology, and fixed income mark-up disclosure.
FINRA also indicated that it will continue to examine firms for compliance with longstanding focus areas such as: suitability; outside business activities and private securities transactions; communications with the public; anti-money laundering; best execution; insider trading and market manipulation; net capital and customer protection; trade and order reporting; data quality and governance; recordkeeping, etc.
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This letter should be read together with the Examination Findings Letter published by FINRA in December 2018 to create a checklist of compliance risks that firms should be sure to address.
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