FINRA 2019 Examination Findings Report Released!
FINRA released its 2019 Report on FINRA Examination Findings and Observations on October 16, 2019. The report provides a summary of the key issues FINRA found while conducting exams throughout the industry in the last year. It is a valuable read; the report can serve as a roadmap for a firm’s compliance team seeking to enhance its supervisory controls testing.
The 2019 report has a streamlined structure compared to its previous two years' predecessors, separating the report into findings and observations. According to FINRA, “This report reflects key findings and observations identified in recent examinations and contains effective practices, where noted, that could help firms improve their compliance and risk management programs.”
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