FINRA has released its 2019 Risk Monitoring and Examination Priorities Letter to the public. This is the first in a series highlighting both FINRA’s new priorities, as well as ongoing issues discussed in the Letter.
FINRA has released its 2019 Risk Monitoring and Examination Priorities Letter to the public. This is the first in a series highlighting both FINRA’s new priorities, as well as ongoing issues discussed in the Letter.