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FINRA’s 2019 Risk Monitoring and Examination Priorities Letter

By William Mack & Vincent Lewis on January 29, 2019

Posted in Corporate Governance, FINRA, GT Alert, Regulatory Compliance

On Jan. 22, 2019, the Financial Industry Regulatory Authority (FINRA) released its 14th Annual Risk Monitoring and Examination Priorities Letter, where it identifies its areas of examination focus for…
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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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