FINRA recently announced its national exam priorities for 2018. These priorities reflect the practices and products FINRA believes present the greatest heightened risks to investors.
A number of priorities from last year remain the same as this year, with retail fraud and high risk brokers topping the list.
FINRA’s areas of priority in 2018 include:
• Sales practice risks, including suitability, sales to vulnerable adults, plus ICOs and cryptocurrency;
• Protection of the firm’s and its customers data and access to funds and securities during a crisis; and
• Market integrity, including best execution, influence across markets and products, and fixed income data integrity.
During this webinar, our experts will provide practical guidance and tips to assist your firm in responding to the release of the examination priorities.