Thursday, November 5, 2015

FINRA’s Ketchum: 3 Top Exam Priorities for 2016

 Every year in the first quarter, the Financial Industry Regulatory Authority publishes an annual letter about its regulatory and examination priorities to highlight emerging and existing risks that could affect investors and the integrity of the financial markets.
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On Thursday FINRA Chairman and CEO Richard Ketchum offered a preview of the 2016 letter at the SIFMA/AICPA Financial Management Society Annual Conference held in New York when Ketchum said that FINRA’s exam focus will focus on three key issues: outsourcing, cyber risk and liquidity concerns.

Read the entire article at ThinkAdvisor: FINRA’s Ketchum: 3 Top Exam Priorities for 2016
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