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FINRA’s 2016 Examination Priorities and Technology

FINRA’s 2016 Examination Priorities and Technology

Posted by on Jan 6, 2016 in AML, Compliance Automation, Conflicts of Interest, Cost of Complaince, Cybersecurity | 0 comments

Written by Don Lee FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA member firms to help them prepare for upcoming examinations and helps others update their compliance programs. This year, FINRA has devoted an entire section to Technology which includes Cybersecurity, Technology Management and...

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Managing Conflicts of Interest across BD and RIAs

Managing Conflicts of Interest across BD and RIAs

Posted by on Oct 30, 2015 in Compliance Automation, Conflicts of Interest | 0 comments

Written by  Don Lee Many BD firms are expanding their business in the shrinking BD market to the Investment Advisory space. The number of FINRA registered BDs have fallen in the last few years from approximately 6000 firms down to 4000 firms; where as the number of State and SEC Registered Investment Advisors has increased to over 20,000. Some BD firms are...

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