Regulatory Update: 2019 Annual Risk Monitoring and Examination Priorities Letter

Written By Brandon Klerk

FINRA’s 2019  Risk Monitoring and Examination Priorities Letter is available, which describes areas where FINRA has identified opportunities for improvement in compliance, supervisory and risk management programs. These areas include:

  • Online Distribution Platforms

  • Fixed Income Mark-Up Disclosure

  • Regulatory Technology

  • Suitability

  • Senior Investors

  • Outside Business Activities and Private Securities Transactions

  • Supervision of Digital Assets Business

  • Customer Due Diligence and Suspicious Activity Reviews

  • Best Execution

  • Market Manipulation

  • Market Access

  • Financial Risks

You may view it here: https://www.finra.org/industry/2019-annual-risk-monitoring-and-examination-priorities-letter 

Brandon Klerk https://www.halyardcompliance.com
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