The 2018 Regulatory and Examination Priorities Letter identifies matters that FINRA will target in the coming yr, and these include things like some new topics in addition to Other people that continue being ongoing parts of focus. FINRA’s 2017 Examination Findings Report offers observations on equally considerations and powerful methods related to Some regions, and FINRA encourages broker-sellers to implement that report which letter as methods to boost their compliance, supervisory and threat management systems, and to organize for their FINRA examination.
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Within our examination of companies’ compliance with SEA Rule 15c3-3, We're going to Appraise whether corporations have implemented enough controls and supervision to guard consumer assets and evaluate their compliance with the particular demands on the rule (
No. When is just not sufficient. Our field changes as time passes and our exam is often a living document that retains up with improvements while in the marketplace. Associations that let members to keep up their membership without having passing an exam every couple of years or so are... suspect. Read our Membership needs.
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FINRA will assessment companies’ BCPs with a focus on their implementation on the system. For example, We are going to review how and below what circumstances corporations activate their BCPs, how they classify methods as mission-essential or secondary, how they accomplish info backup and recovery, and where relevant, how companies coordinate with their affiliates and vendors in the course of a business continuity situation. We will also evaluate companies’ programs for restoring programs, treatments and information when They're ready to return to standard company, and how they make These conclusions.